Gregory R. Hartlein
Professional summary
Gregory Ross Hartlein, who also goes by Gregory Ross Hartlein, Gregory Hartlein, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2012. Gregory has worked at 4 firms and has passed the Series 63, SIE, Series 62 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Ross Hartlein's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003February 3, 2020 - December 20, 2024
D.A. DAVIDSON & CO.
February 12, 2013 - January 29, 2020
STEPHENS
February 24, 2012 - November 5, 2012
THINKEQUITY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2025)
Exams
Series 62
Date: 7/16/2015
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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