Brian Adolph
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.
Brian Adolph, who also goes by Brian Michael Adolph, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2015. Brian had worked at 2 firms and has passed the Series 63, Series 79TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2023 - March 21, 2024
FINALIS SECURITIES LLC
September 24, 2020 - June 4, 2021
PFS INVESTMENTS INC.
June 24, 2015 - September 14, 2018
PFS INVESTMENTS INC.
May 8, 2015 - September 14, 2018
PFS INVESTMENTS INC.
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
Series 79TO
Date: 7/24/2023
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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
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.
