David L. Pauli
Professional summary
David Lee Pauli is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2007. David has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Lee Pauli's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003February 6, 2017 - November 13, 2024
AVALON SECURITIES, LTD.
May 9, 2016 - February 3, 2017
SOURCE CAPITAL GROUP, INC.
September 9, 2008 - April 24, 2009
MSI FINANCIAL SERVICES, INC.
July 10, 2008 - April 24, 2009
MSI FINANCIAL SERVICES, INC.
May 17, 2007 - September 7, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 19, 2007 - April 17, 2007
STATE FARM VP MANAGEMENT CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2024)
(11/21/2024)
(11/21/2024)
(11/21/2024)
Exams
FINRA
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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