AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
SP

Steven Bennett Price

FINALIS SECURITIES
NEW YORK, NY
·CRD# 5535145·18 years experience

Professional Summary

Steven Bennett Price, who also goes by Steve Bennett Price, is a registered financial advisor currently at FINALIS SECURITIES LLC located in New York, New York. Steven is registered as a RR (Registered Representative) and started their career in finance in 2008. Steven has worked at 4 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE, Series 7, Series 14 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steve Bennett Price

Blog Corner

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
View profile
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

Years of Experience

18 years in the financial services industry

Current & Past Employments

FINALIS SECURITIES LLC·CRD# 305908
BD
450 Lexington Ave, New York, NY 10017
August 17, 2026 - Present
ALPS ADVISORS, INC.·CRD# 134340
RIA
Denver, CO
February 3, 2010 - April 3, 2020
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.·CRD# 144464
BD
Denver, CO
February 3, 2010 - April 3, 2020
ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
Denver, CO
October 9, 2008 - April 3, 2020

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

Current Firm

FS
FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: 8-70425
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

450 Lexington Ave, New York, NY 10017

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone Number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY—
BRANT, DAVID ROBERTFINOP2718478
MORA, MICHAEL JOHNCEO2648236
PRICE, STEVEN BENNETTCHIEF COMPLIANCE OFFICER5535145

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Colorado
(8/18/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2009About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed Aug 2026About the Series 99TO exam

Series 7TO — General Securities Representative Examination

Passed Dec 2022About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2008About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Dec 2022About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Dec 2022About the Series 24 exam
FINRA
SRO Registrations

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#

CRS (Client Relationship Summary) - BD

Click below to view Steven Bennett Price's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

Richard Gaspare Dragotta
Richard Gaspare Dragotta

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Anthony J. Macagna
Anthony J. Macagna

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#
Paramus, NJ · CRD#
Matthew James Borja Wang
Matthew James Borja Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY · CRD#
SP
Follow Steven
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required