Michael D. Henton

FINALIS SECURITIES LLC

SAN JUAN CAPISTRANO, CA

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CRD#: 720922

Professional summary

Michael Dewayne Henton, who also goes by Mike Henton, is a registered financial professional currently at FINALIS SECURITIES LLC located in San Juan Capistrano, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1980. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 82TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Henton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Dewayne Henton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 15, 2025 - Present

FINALIS SECURITIES LLC

CRD#: 305908

SAN JUAN CAPISTRANO, CA

Past

December 15, 2024 - July 14, 2025

EXEMPLAR CAPITAL, LLC

CRD#: 155786

BOSTON, MA

Past

July 19, 2022 - January 9, 2023

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

October 11, 2007 - October 11, 2012

MARV CAPITAL INC.

CRD#: 104390

NEW YORK, NY

Past

March 16, 2005 - July 28, 2005

STANDARD INVESTMENT CHARTERED INCORPORATED

CRD#: 23505

NEWPORT BEACH, CA

Past

May 17, 1993 - March 18, 2003

STANDARD INVESTMENT CHARTERED INCORPORATED

CRD#: 23505

NEWPORT BEACH, CA

Past

June 17, 1983 - July 1, 1991

DIEHL & COMPANY

CRD#: 10549

Past

September 29, 1982 - June 13, 1983

PETERSON, DIEHL & COMPANY, INC.

CRD#: 7629

Past

January 31, 1982 - August 12, 1983

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

September 2, 1981 - November 24, 1981

FIRST WILSHIRE SECURITIES, INC.

CRD#: 6609

Past

December 30, 1980 - July 26, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Nevada
(7/15/2025)

Exams

State Security Law Exam

Series 63

Date: 6/2/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/19/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 82TO

Date: 11/5/2021

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael D. Henton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Dewayne Henton's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXEMPLAR CAPITAL, LLC

NEWBRIDGE SECURITIES CORPORATION

MARV CAPITAL INC.

STANDARD INVESTMENT CHARTERED INCORPORATED

STANDARD INVESTMENT CHARTERED INCORPORATED

DIEHL & COMPANY

PETERSON, DIEHL & COMPANY, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FIRST WILSHIRE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/2025

SIE

Date: 7/19/2022

Series 82TO

Date: 11/5/2021

Series 7

Date: 12/20/1980

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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