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AP

Alexander J. Prince

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 5597801
AP

Professional summary

Alexander James Prince, who also goes by Alex H Abdelfattah, Alex Abdelfattah, Alex H Fattah, Alex Fattah, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2008. Alexander has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex H Abdelfattah | Alex Abdelfattah | Alex H Fattah | Alex Fattah

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.
1)- PRINCE CONSULTING GROUP, LLC-NOT INVESTMENT RELATED; 11554 S BARRINGTON AVE. #104, LOS ANGELES, CA 90049; SMALL BUSINESS CONSULTING; OWNER; CONSULT SMALL BUSINESSES ON HOW TO INCREASE REVENUE, MARKETING AND SALES; ZERO HOURS DURING SECURITIES TRADING HOURS; 6/2020

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander James Prince's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 11, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003
BD
CRD#: 305908
New York, NY
Past

February 7, 2024 - May 5, 2025

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

June 27, 2022 - January 29, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Fort Lauderdale, FL
Past

March 23, 2022 - June 7, 2022

EMERSON EQUITY LLC

RIA
CRD#: 130032
Miami, FL
Past

December 11, 2015 - June 26, 2018

BAILARD FUND SERVICES, INC.

BD
CRD#: 21206
FOSTER CITY, CA
Past

March 25, 2015 - April 20, 2020

BAILARD, INC.

RIA
CRD#: 110550
Santa Monica, CA
Past

March 4, 2014 - August 13, 2014

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 126052
SAN RAFAEL, CA
Past

February 18, 2013 - November 14, 2013

TRIVE NEW YORK LLC

BD
CRD#: 21946
NEW YORK, NY
Past

January 26, 2010 - January 25, 2013

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
SAN FRANCISCO, CA
Past

January 28, 2009 - January 29, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

November 26, 2008 - January 29, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/1/2025)
RR
Florida
(6/11/2025)
RR
Virginia
(9/23/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/24/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/25/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)
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Contact information

Main Address
228 Park Ave South Suite 85550, New York, NY 10003
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
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINALIS, INC.HOLDING COMPANY
AZARY, DENNIS MICHAELCEO/CCO/FINOP2384263

Red Flags

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.

Company Information

FINALIS SECURITIES LLC

CRD#: 305908New York, NY 10003

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