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EN

Eric B. Nelson

FINALIS SECURITIES LLC
New York, NY 10003
Some features on this profile are disabled
CRD#: 5883958
EN

Professional summary

Eric B Nelson, CFP® is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2011. Eric has worked at 4 firms and has passed the Series 66, SIE, Series 79, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric B Nelson'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®
CFP®

Certified Financial Planner

Experience

Current

November 18, 2021 - Present

FINALIS SECURITIES LLC

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

May 16, 2016 - November 19, 2021

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
BOSTON, MA
Past

January 16, 2015 - February 19, 2016

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
BOSTON, MA
Past

January 16, 2015 - May 16, 2016

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
BOSTON, MA
Past

April 4, 2011 - June 26, 2013

MORGAN STANLEY

RIA
CRD#: 149777
BOSTON, MA
Past

March 2, 2011 - June 26, 2013

MORGAN STANLEY

BD
CRD#: 149777
BOSTON, MA

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
Florida
(12/17/2024)
RR
Massachusetts
(11/18/2021)
RR
Ohio
(12/8/2023)
RR
Pennsylvania
(11/18/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/2/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/17/2015
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 5/23/2012
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2011
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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