AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DH

Denise N. Holzer

FINALIS SECURITIES LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 4875378
DH

Professional summary

Denise Nicole Holzer, who also goes by Denise Nicole Holzer, Denise Holzer, Denise Nicole Holzer, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Denise is registered as a RR (Registered Representative) and started their career in finance in 2005. Denise has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Denise Nicole Holzer | Denise Holzer | Denise Nicole Holzer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Denise Nicole Holzer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 26, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 450 Lexington Ave, New York, NY 10017
BD
CRD#: 305908
NEW YORK, NY
Past

May 29, 2025 - June 5, 2025

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

April 1, 2019 - October 2, 2024

CHATSWORTH SECURITIES LLC

BD
CRD#: 40804
GREENWICH, CT
Past

June 1, 2009 - April 13, 2017

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

June 1, 2009 - April 13, 2017

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

May 19, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
NEW YORK, NY
Past

March 9, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/16/2026)
RR
Connecticut
(1/16/2026)
RR
Delaware
(1/16/2026)
RR
Florida
(11/26/2025)
RR
Illinois
(2/2/2026)
RR
Massachusetts
(2/2/2026)
RR
New Jersey
(2/2/2026)
RR
New York
(11/26/2025)
RR
Puerto Rico
(11/26/2025)
RR
Texas
(2/2/2026)
RR
Wyoming
(1/16/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/31/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 6/17/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FINALIS SECURITIES LLC
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
450 Lexington Ave, New York, NY 10017
Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003
Phone number
(800) 962-0418
Established
Delaware since 09/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
BRANT, DAVID ROBERTFINOP2718478
DIGIGLIO, JOSEPH ANDREWCCO4945031
MORA, MICHAEL JOHNCEO2648236

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FINALIS SECURITIES LLC

CRD#: 305908New York, NY 10017

TRUST BUT VERIFY

Monitor Denise Holzer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.