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Shelly Wolfsdorf

Finalis Securities LLC

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About Shelly Wolfsdorf

Shelly Wolfsdorf is a financial professional with over 20 years of experience in the financial services industry. Shelly is currently registered with Finalis Securities LLC, where she focuses on providing investment advice to clients. Prior to joining Finalis Securities LLC, Shelly worked at Dalmore Group LLC, NMS Capital Advisors, LLC., NMS Capital Securities, LLC and Dean Witter Reynolds Inc. Shelly holds FINRA Series 7, 79, 31, 63, and 82 licenses. Shelly is also a Series 65 licensed investment advisor. Shelly's expertise and experience make her a valuable resource for clients seeking investment guidance.

Firm Information

Shelly Wolfsdorf 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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Shelly Wolfsdorf’s Registration & Firm History

NY

07/29/2023 - Present

Finalis Securities LLC (New York NY)

NY

04/19/2018 - 07/05/2023

DALMORE GROUP LLC (WOODMERE NY)

CA

07/28/2015 - 04/13/2018

NMS CAPITAL ADVISORS, LLC. (BEVERLY HILLS CA)

CA

01/23/2015 - 09/24/2015

NMS CAPITAL SECURITIES, LLC (BEVERLY HILLS CA)

CA

01/21/2015 - 04/24/2015

NMS CAPITAL ADVISORS, LLC. (NEWPORT BEACH CA)

NY

09/11/1995 - 09/19/1996

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 01/22/2015

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/02/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/08/2018

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 01/20/2015

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/25/1995

Series 31 - Futures Managed Funds Examination

BC

Issued 09/08/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Shelly Wolfsdorf. Review regulatory record here.
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