Chad W. Gassaway
Professional summary
Chad Warner Gassaway, who also goes by Chad Warner Gassaway, Chad Gassaway, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Chad is registered as a RR (Registered Representative) and started their career in finance in 2008. Chad has worked at 4 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chad Warner Gassaway's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2023 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003July 19, 2010 - February 14, 2011
CHASE INVESTMENT SERVICES CORP.
July 19, 2010 - February 14, 2011
CHASE INVESTMENT SERVICES CORP.
March 9, 2009 - July 12, 2010
MSI FINANCIAL SERVICES, INC.
November 21, 2008 - July 12, 2010
MSI FINANCIAL SERVICES, INC.
February 20, 2008 - May 30, 2008
EDWARD JONES
January 25, 2008 - May 30, 2008
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/15/2023)
Exams
Series 79TO
Date: 5/13/2023
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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