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FIRM PROFILE
Overview
FINALIS SECURITIES LLC is located at 228 Park Ave South Suite 85550, New York, NY 10003 and was first established at New York, Delaware in 09/10/2019. After operating for 6 years, FINALIS SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FINALIS SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. FINALIS SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FINALIS SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FINALIS SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FINALIS SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for FINALIS SECURITIES LLC Comes From
Understanding the Statistics for FINALIS SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
228 Park Ave South Suite 85550, New York, NY 10003
228 Park Ave South Suite 85550, New York, NY 10003
Large
(800) 962-0418
Delaware since 09/10/2019
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | ||
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
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Advisor's working at FINALIS SECURITIES LLC
Patrick Thomas Long
Thomas Anthony Ruggiero
Todd Emil Dawes
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