Ben D. Davis
Professional summary
Ben David Davis is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Ben is registered as a RR (Registered Representative) and started their career in finance in 2007. Ben has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ben David Davis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 5, 2019 - December 7, 2020
INDEPENDENT INVESTMENT BANKERS, CORP.
June 4, 2007 - November 27, 2017
WESTLAKE SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/21/2023)
(7/5/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 5/24/2007
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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