Nicholas K. Willett
Professional summary
Nicholas Kent Willett is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Newport Beach, California.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1984. Nicholas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Kent Willett's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2011 - Present
PIMCO INVESTMENTS LLC
Office #1: 650 Newport Center Dr., Newport Beach, CA 92660February 19, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
August 16, 2000 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 26, 1993 - July 19, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 6, 1992 - October 1, 1992
STEPHENS
January 4, 1989 - November 23, 1991
RELATED EQUITIES CORPORATION
November 5, 1986 - October 28, 1987
TECHNOLOGY FUNDING SECURITIES CORPORATION
June 20, 1984 - October 7, 1986
BALCOR SECURITIES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2023)
(2/14/2011)
(1/3/2023)
(1/3/2024)
(2/14/2011)
(1/3/2023)
Exams
FINRA
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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