Thomas C. Delay
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Christopher Delay was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2022 - January 21, 2025
FINALIS SECURITIES LLC
September 24, 2019 - January 27, 2022
GROWTH CAPITAL SERVICES, INC.
October 23, 2009 - July 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 14, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 2005 - June 8, 2006
ALLIANCEBERNSTEIN L.P.
January 1, 2005 - June 8, 2006
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 9/24/2019
General Securities Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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