Eric S. Kern
Professional summary
Eric Stuart Kern, who also goes by Eric Kern, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2018. Eric has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Stuart Kern's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003October 1, 2018 - May 8, 2023
ACC 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
(8/5/2024)
Exams
Series 79TO
Date: 7/12/2021
Investment Banking Registered Representative ExaminationSeries 62
Date: 9/29/2018
Corporate Securities Limited 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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