Wesley G. King
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.
Wesley Gordon King was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 2018. Wesley had worked at 4 firms and has passed the Series 63, Series 79TO, SIE 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 24, 2021 - February 29, 2024
FINALIS SECURITIES LLC
August 3, 2020 - February 23, 2021
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
May 17, 2019 - July 28, 2020
EXEMPLAR CAPITAL, LLC
June 18, 2018 - May 14, 2019
BOUSTEAD SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 6/28/2021
Investment Banking Registered 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
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