Rafael S. De Paoli
Professional summary
Rafael Sanzio De Paoli, who also goes by Rafael De Paoli, Rafael Sanzio Depaoli, Rafael Depaoli, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Rafael is registered as a RR (Registered Representative) and started their career in finance in 2006. Rafael has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rafael Sanzio De Paoli's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2021 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003April 20, 2021 - September 29, 2021
ASHLAND SECURITIES, LLC
March 15, 2013 - October 30, 2020
HSBC SECURITIES (USA) INC.
April 21, 2009 - August 10, 2011
ALADDIN CAPITAL LLC
June 7, 2006 - January 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/18/2023)
(12/20/2024)
(10/4/2021)
(5/10/2024)
Exams
Series 79TO
Date: 1/2/2023
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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