Richard P. Mendelson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Paul Mendelson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2012. Richard had worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2024 - June 11, 2024
FINALIS SECURITIES LLC
August 5, 2019 - January 4, 2024
NORTH POINT MERGERS AND ACQUISITIONS, INC.
October 12, 2017 - June 19, 2019
HOULIHAN LOKEY CAPITAL, INC.
November 21, 2014 - December 5, 2016
HOULIHAN LOKEY CAPITAL, INC.
July 25, 2012 - August 27, 2014
FMV CAPITAL MARKETS, 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
Exams
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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