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James Gavilan

Finalis Securities LLC

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About James Gavilan

James Gavilan is a securities professional with over 20 years of experience. James is currently registered with Finalis Securities LLC in New York. James has also held previous positions with Standard New York Securities, Inc., J.P. Morgan Securities Inc., Signet Financial Services, Inc., and Value Line Securities, Inc. James holds licenses for Series 3, 6, 7, 63, 65, 79TO and SIE exams. James has been active in the securities industry since 2012.

Firm Information

James Gavilan is currently registered with Finalis Securities LLC. Finalis Securities LLC is a Limited Liability Company formed in September 2019. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

337

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Gavilan’s Registration & Firm History

NY

01/10/2022 - Present

Finalis Securities LLC (New York NY)

NY

02/03/2004 - 09/11/2006

STANDARD NEW YORK SECURITIES, INC. (NEW YORK NY)

NY

07/13/1998 - 05/06/2003

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NC

07/19/1995 - 10/24/1996

SIGNET FINANCIAL SERVICES,INC. (CHARLOTTE NC)

NY

06/17/1994 - 10/21/1994

VALUE LINE SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/13/2021

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 04/09/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/10/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 09/08/2021

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/2021

Series 3 - National Commodity Futures Examination

BC

Issued 10/31/1995

Series 7 - General Securities Representative Examination

BC

Issued 06/16/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Gavilan.
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