R. Brad Lane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
R. Brad Lane, who also goes by R Brad Lane, Robert Bradley Lane, was a registered financial professional .
R. Brad is a previously registered financial professional and started their career in finance in 2007. R. Brad had worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2022 - January 31, 2023
FINALIS SECURITIES LLC
October 20, 2016 - November 18, 2020
STILLPOINT CAPITAL, LLC
December 7, 2012 - October 29, 2014
NATIONAL SECURITIES CORPORATION
September 18, 2012 - October 12, 2012
MAXIM GROUP LLC
August 9, 2011 - March 14, 2012
MERCURY EQUITY GROUP, LLC
May 30, 2007 - August 10, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
Exams
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
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.
