Deyon Robertson: FINRA Suspends Former Finalis Advisor

Former New York City financial advisor Deyon Robertson (CRD# 7493659) has been suspended in connection with allegedly improper investment recommendations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Finalis Securities and is no longer registered as a broker.

A Letter of Acceptance, Waiver, and Consent (No. 2024080112401) describes FINRA’s disciplinary action against Mr. Robertson. Filed in October 2026, it states that he  recommended a retail customer “invest over 25% of her liquid net worth in an illiquid, private fund that used investor money to buy interests in other funds that made investments in residential real estate.” FINRA found that this investment was not in the customer’s best interest. As the Letter states, the illiquid nature of the fund’s underlying investments meant that although it intended to eventually make quarterly distributions, it was not obliged to make them. For this and other reasons, the investment’s memo specified that interests in the fund “should be purchased only by investors who have no need for liquidity.” This was not the case for the customer in question, whose “finances made it likely that she would need to access [her] funds if her financial situation worsened.” Indeed, when she later sought to withdraw funds “due to financial hardship,” she was unable to do so.

In addition to these findings, FINRA alleged that Mr. Robertson engaged in a private securities transaction without providing prior written notice to his member firm. The transaction in question involved the solicitation of three firm customers to invest in a company he created “to acquire, renovate, and sell a residential property.” Finding that his conduct violated FINRA Rules, FINRA ordered him to pay a fine of $10,000 and partial restitution of $2,400. It also issued him a five-month suspension from associating with any FINRA member in all capacities.

According to the Financial Industry Regulatory Authority, Deyon Robertson holds two years of securities industry. Most recently baed in New York, New York, he was registered with Finalis Securities from 2023 to 2025. He was previously registered with Citigroup Global Markets in San Francisco, California, from June to September 2022. His credentials include the passage of four securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the General Securities Representative Examination, or Series 7; and the Uniform Securities Agent State Law Examination, or Series 63. He is not currently licensed as a broker. (Information current as of October 22, 2026.)

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