Richard E. Bartolo
Professional summary
Richard Egbert Bartolo, who also goes by Richard Bartolo, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Egbert Bartolo's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003June 5, 2020 - December 20, 2022
MOODY CAPITAL SOLUTIONS, INC
June 24, 2016 - October 2, 2018
BRG CAPSTONE CAPITAL ADVISORS
January 15, 2016 - July 1, 2016
AVALON SECURITIES, LTD.
May 13, 2014 - November 12, 2015
BGC FINANCIAL, L.P.
April 3, 2012 - May 9, 2013
SITUS CAPITAL MANAGEMENT LLC
September 20, 2006 - January 9, 2012
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/3/2025)
(12/19/2022)
(8/28/2024)
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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