Elise S. Bal
Professional summary
Elise Schmidt Bal, who also goes by Elise Hodge Bal, Elise Hodge Schmidt, Elise Schmidt, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Elise is registered as a RR (Registered Representative) and started their career in finance in 2009. Elise has worked at 2 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elise Schmidt Bal's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003August 31, 2009 - May 15, 2025
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
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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