David Yueh
Professional summary
David Yueh, who also goes by David Yueh, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2013. David has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Yueh's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003April 25, 2024 - October 6, 2025
EVERCORE GROUP L.L.C.
June 1, 2022 - July 13, 2023
DEUTSCHE BANK SECURITIES INC.
May 4, 2021 - May 6, 2022
OPPENHEIMER & CO. INC.
September 4, 2018 - March 10, 2021
CITIZENS JMP SECURITIES, LLC
March 27, 2017 - July 18, 2018
MACQUARIE CAPITAL (USA) INC.
July 28, 2015 - April 19, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 21, 2014 - July 28, 2015
CANACCORD GENUITY LLC
September 16, 2013 - November 25, 2013
LAIDLAW & COMPANY (UK) LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2025)
Exams
Series 79TO
Date: 1/30/2023
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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