Scott Wittrock
Professional summary
Scott Wittrock is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2010. Scott has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 57 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Wittrock's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 7, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003April 18, 2023 - March 28, 2024
AEGIS CAPITAL CORP.
November 24, 2010 - January 21, 2022
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/15/2025)
(2/7/2025)
Exams
Series 79TO
Date: 6/5/2023
Investment Banking Registered Representative ExaminationFINRA
Current 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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