Shmuel M. Libby
Professional summary
Shmuel Mordechai Libby, who also goes by Sam Libby, Shmuel Libby, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Shmuel is registered as a RR (Registered Representative) and started their career in finance in 2015. Shmuel has worked at 8 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shmuel Mordechai Libby's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003April 19, 2023 - July 15, 2024
WEILD & CO.
May 10, 2022 - October 26, 2022
PEDERSON&CO LLC
December 22, 2021 - March 31, 2022
BTIG, LLC
August 24, 2021 - December 2, 2021
SOLOMON PARTNERS SECURITIES, LLC
August 13, 2019 - August 24, 2021
PIPER SANDLER & CO.
May 11, 2016 - April 17, 2019
B. C. ZIEGLER AND COMPANY
November 2, 2015 - December 31, 2015
ONDRA PARTNERS LP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2025)
(6/21/2024)
(6/21/2024)
(6/21/2024)
(8/28/2024)
Exams
FINRA
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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