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Sarasota, FL • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-02-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gt Securities, Inc. | Los Angeles | CA | 03/2023 | 11/2025 |
| Pemberton Holdings, Llc | New York | NY | 04/2021 | Present |
| Wafra | New York | NY | 09/2020 | 04/2021 |
| Tideline | New York | NY | 10/2017 | 09/2020 |
| Ibm | New York | NY | 10/2015 | 10/2017 |
| Finalis Securities Llc | New York | NY | 11/2025 | Present |
1) Finalis Securities, LLC; Yes; 5437 Chanteclaire, Sarasota, FL, 34235; 11/03/2025; Registered Representative of registered broker-dealer; 120; Provide capital advisory including private placements, fundraising, M&A advisory. 2) Braintrust Investment LLC; No; 5437 Chanteclaire, Sarasota, FL, 34235; Manages business activity that enables operations and research capabilities, including back office support, technology oversight, and partnership development; Managing Member; 11/03/2025; 100; Manage firm operations, business development, and the oversight of the website, web application, and mobile applications associated with the business. 3) Braintrust Investment Technology, LLC; No; 5437 Chanteclaire, Sarasota, FL, 34235; 11/03/2025; Software and technology development; IT management; content creation; Principal; 40; Develop and/or oversee development of software and applications for secure client management and communications and for delivery of technology-based services and/or data via third-party API to clients 4) Pemberton Holdings, LLC; No; 9 Lee Lane, Lagrangeville, NY, 12540; Provides management consulting services and develops/tests technology products and services. May, on occasion, invest in consulting clients and/or accept shares as payment for services; Managing Member; 04/01/2021; 5; Manage all client business development and client engagement delivery (sole proprietor). This business is largely wound down, but is still an active LLC and may provide ad hoc services in future. 5) Premier Ecology Services, LLC; Position/Title: Board Member; Nature of Business: Lake and pond management services and technology; Duties: Provide oversight and governance for technology product development; Start Date: 06/30/2026; Compensation: Cash.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 2023-03-31 |
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