Vivek M. Garg
Professional summary
Vivek Mahendra Garg, who also goes by VIvek Garg, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Vivek is registered as a RR (Registered Representative) and started their career in finance in 2013. Vivek has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vivek Mahendra Garg's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003March 1, 2022 - February 13, 2024
D.A. DAVIDSON & CO.
April 16, 2019 - March 14, 2022
LINCOLN INTERNATIONAL LLC
March 30, 2017 - April 1, 2019
VIANT CAPITAL LLC
October 1, 2013 - October 6, 2014
LAZARD FRERES & 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
(10/16/2025)
Exams
Series 62
Date: 3/30/2017
Corporate Securities Limited 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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