Samuel D. Gold
Professional summary
Samuel David Gold, who also goes by Samuel Gold, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Samuel is registered as a RR (Registered Representative) and started their career in finance in 2016. Samuel has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Samuel David Gold's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003January 3, 2023 - October 31, 2024
REGIMENT SECURITIES, LLC.
October 25, 2022 - December 6, 2022
OLD CITY SECURITIES LLC
January 22, 2021 - January 27, 2022
OLD CITY SECURITIES LLC
May 17, 2019 - May 21, 2020
RAINMAKER SECURITIES, LLC
May 13, 2016 - May 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2016 - May 16, 2017
WELLS FARGO CLEARING SERVICES, 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
(10/23/2024)
(2/12/2025)
(10/8/2024)
(10/8/2024)
Exams
Series 7TO
Date: 1/2/2023
General Securities 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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