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Daniel Nicholas

Some features on this profile are disabled
CRD#: 1381203
DN

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Nicholas, who also goes by Daniel Michael Nicholas, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Michael Nicholas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 11, 2015 - January 10, 2017

ALDWYCH SECURITIES LLC

BD
CRD#: 167980
STAMFORD, CT
Past

January 6, 2011 - November 15, 2012

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

May 22, 2009 - April 19, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

December 18, 2007 - March 6, 2009

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

August 17, 2006 - November 23, 2007

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

November 15, 2004 - August 2, 2006

FORESIGHT RESEARCH SOLUTIONS LLC

BD
CRD#: 131411
NEW YORK, NY
Past

May 20, 1998 - February 8, 1999

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

January 15, 1997 - November 18, 1997

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
OLD GREENWICH, CT
Past

September 2, 1988 - October 4, 1996

W. H. REAVES & CO., INC.

BD
CRD#: 3140
JERSEY CITY, NJ
Past

March 24, 1987 - March 23, 1988

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/10/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2004
General Securities Principal Examination

Current Firm

AS
ALDWYCH SECURITIES LLC
ALDWYCH SECURITIES LLC

CRD#: 167980 / SEC#: , 8-69286

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
208 Harbor Drive Suite 204, Stamford, CT 06902
Mailing Address
208 Harbor Drive Suite 204, Stamford, CT 06902
Phone number
(212) 319-2501
Established
New York since 01/17/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ACP CAPITAL MARKETS LLCSOLE OWNER
BISHOP, MARK JOHNMANAGING MEMBER, CCO, CFO2868804
MILLER, JOHN STEVENSONFINOP2139980

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALDWYCH SECURITIES LLC

CRD#: 167980

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