Our Staff has compiled our research into a database of FINRA Broker Disclosures for Finalis Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Daniel Thomas | 7321431 | 2 | 05/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas | 7321431 | 2 | 02/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Martin Beach | 2764171 | 14 | 10/25/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Martin Beach | 2764171 | 14 | 07/14/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Martin Beach | 2764171 | 14 | 04/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Frank Sciortino | 1233471 | 3 | 11/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Frank Sciortino | 1233471 | 3 | 11/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Matthew Cain | 7450325 | 2 | 04/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William van Genderen | 4463116 | 1 | 04/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Marvin Sizemore | 7515702 | 1 | 01/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |