Tyler J. Humphrey
Professional summary
Tyler Joseph Humphrey, who also goes by Tyler Joseph Humphrey, Tyler Humphrey, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Tyler is registered as a RR (Registered Representative) and started their career in finance in 2019. Tyler has worked at 4 firms and has passed the Series 63, SIE and Series 79TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tyler Joseph Humphrey's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 20, 2022 - December 20, 2024
DEUTSCHE BANK SECURITIES INC.
February 17, 2021 - June 13, 2022
COHEN & COMPANY SECURITIES, LLC
August 16, 2019 - January 4, 2021
FTP SECURITIES 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
(3/14/2025)
Exams
Series 79TO
Date: 8/2/2019
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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