Application

Finalis Application

Please provide the information requested below so that Finalis may conduct customary checks required by FINRA

First Name *

Last Name *

Current Home Address *

Business Email address *

Firm Name * �

This should be the Firm Name you intend to use to conduct securities-related business at Finalis.

Date of Birth *

Are you a U.S. Resident? *

Country of Origin *

Country of Residence *

Passport Number *

Please submit a copy of your passport *

Are you currently or have you previously been the subject of any regulatory complaint, proceeding or investigation or received any notice in that respect? �

FINRA CRD Number

Are there any outstanding liabilities, debts, pending litigation, or past or present regulatory complaints, proceedings, investigations, or notices that could affect the transfer of you/your RRs from your current BD to Finalis?

I accept the terms & conditions

Thank you! Your submission has been received!

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Finalis Application

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