Nicholas T. Ganz

CHINA RENAISSANCE SECURITIES (US)

NEW YORK, NY 10017

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CRD#: 1503100

Professional summary

Nicholas Thomas Ganz is a registered financial professional currently at CHINA RENAISSANCE SECURITIES (US) INC. located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1991. Nicholas has worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Nicholas Thomas Ganz's CRS (Customer Relationship Summary).

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

Current

August 2, 2016 - Present

CHINA RENAISSANCE SECURITIES (US) INC.

Office #1: 295 Madison Avenue 18th Floor, New York, NY 10017

CRD#: 166318

NEW YORK, NY

Past

July 2, 2015 - January 18, 2016

FIRST AVENUE

CRD#: 145860

NEW YORK, NY

Past

November 11, 2014 - June 29, 2015

MLV & CO. LLC

CRD#: 150959

NEW YORK, NY

Past

April 23, 2012 - October 31, 2014

FIRST AVENUE

CRD#: 145860

NEW YORK, NY

Past

April 20, 2011 - December 15, 2011

MADISON WILLIAMS AND COMPANY

CRD#: 149530

NEW YORK, NY

Past

December 5, 2007 - October 20, 2010

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

July 6, 2005 - April 27, 2007

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

March 27, 2001 - June 21, 2005

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

June 29, 1998 - March 5, 2001

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

June 3, 1996 - September 2, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

November 3, 1994 - June 3, 1996

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

Past

December 22, 1992 - October 12, 1994

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

HAUPPAUGE, NY

Past

January 28, 1991 - December 1, 1992

NORTHEAST BROKERAGE SERVICES CORPORATION

CRD#: 26601

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/2/2016)

Florida
(7/12/2017)

Massachusetts
(8/2/2016)

New Jersey
(8/2/2016)

New York
(8/2/2016)

Pennsylvania
(8/2/2016)

Texas
(8/2/2016)

Virginia
(8/2/2016)

Exams

State Security Law Exam

Series 63

Date: 2/8/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CHINA RENAISSANCE SECURITIES (US) INC.

CRD#: 166318 / SEC#: , 8-69197

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

295 Madison Avenue 18th Floor, New York, NY 10017

Mailing Address

295 Madison Avenue 18th Floor, New York, NY 10017

Phone number

(212) 554-2960

Established

New York since 08/23/2012

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (31 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHINA RENAISSANCE HOLDINGS LIMITED	SOLE SHAREHOLDER
CHIN, PHYLLIS NYUK FAH	FINOP	6250921
GANZ, NICHOLAS THOMAS	GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER	1503100
HONG, JONATHAN DEAN	CHIEF EXECUTIVE OFFICER/PRESIDENT	3142100

Red Flags

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

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Firm Stability Insights

Nicholas T. Ganz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Thomas Ganz's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST AVENUE

MLV & CO. LLC

FIRST AVENUE

MADISON WILLIAMS AND COMPANY

COWEN AND COMPANY

CANTOR FITZGERALD & CO.

BANC OF AMERICA SECURITIES LLC

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

SBC WARBURG, INC.

S.G. WARBURG & CO. INC.

FIRST EMPIRE SECURITIES, INC.

NORTHEAST BROKERAGE SERVICES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/1991

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1991

Series 14

Date: 1/2/2023

Series 24

Date: 3/8/1991

FINRA

Current Firm

CHINA RENAISSANCE SECURITIES (US) INC.

Contact information

FINRA licenses (31 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CHINA RENAISSANCE SECURITIES (US) INC.

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