Who we are

Welcome to Finova Securities LLC, your trusted partner in navigating the complexities of financial markets. With a steadfast commitment to excellence, integrity, and innovation, we empower our clients to achieve their investment goals through tailored solutions and expert guidance.

At Finova Securities, we specialize in underwriting public and private securities services and offer a comprehensive suite of offerings designed to meet the diverse needs of self-directed investors.

Our team of seasoned professionals combines decades of industry experience with cutting-edge technology to deliver superior service and insightful market strategies.

We are committed to:

  • Enabling investors to manage their portfolios independently with state-of-the-art online trading tools.

  • Assisting domestic and international issuers with capital raising via IPOs, follow-on offerings, and private placements.

  • Providing secure, compliant, and user-friendly investing experiences by leveraging best-in-class technology and clearing services.

Leadership Team

Yao Zhang – Chief Executive Officer

An experienced operations leader with a strong background in trading, analytics, and capital markets. Yao brings deep expertise from her roles at Pacific Century Securities and holds FINRA licenses 7, 24, 79, 99, and more. She leads Finova with a data-driven, client-first approach.

Jay Proffitt – Chief Compliance & Operating Officer

A veteran of Charles Schwab, Penson Financial, and Securitize, Jay has overseen platforms generating hundreds of millions in trade revenue. His leadership ensures Finova’s compliance, innovation, and operational excellence.

Heather Fitzgerald – Financial and Operational Principal (FinOp)

Heather brings 20+ years of broker-dealer experience and manages all financial operations and reporting. She is contracted through ACI and plays a critical role in maintaining regulatory capital and filing accuracy.