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Thomas Christopher Delay

Finalis Securities LLC

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About Thomas Christopher Delay

Thomas Christopher Delay is a financial advisor registered with Finalis Securities LLC and has been in the industry since August 22, 2015. Thomas Delay is licensed to provide financial advice in California, Illinois, and Maryland. Thomas Delay is Series 7, 7TO, 31, 63, and 66 licensed. Thomas Delay was previously employed by GROWTH CAPITAL SERVICES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC. and SANFORD C. BERNSTEIN & CO., LLC.

Firm Information

Thomas Delay 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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Thomas Delay’s Registration & Firm History

NY

04/25/2022 - Present

Finalis Securities LLC (New York NY)

DE

09/24/2019 - 01/27/2022

GROWTH CAPITAL SERVICES, INC. (CLAYMONT DE)

CA

10/23/2009 - 07/06/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)

CA

08/14/2008 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)

CA

01/01/2005 - 06/08/2006

SANFORD C. BERNSTEIN & CO., LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 08/05/2019

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 05/18/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/24/2019

Series 7TO - General Securities Representative Examination

BC

Issued 07/01/2019

SIE - Securities Industry Essentials Examination

BC

Issued 01/06/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 12/20/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Christopher Delay. Review regulatory record here.
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