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FN

Frederick S. Nicholas

INSTITUTIONAL SECURITIES
Dallas, TX 75219
Some features on this profile are disabled
CRD#: 1542055
FN

Professional summary

Frederick S Nicholas III, who also goes by Frederick Snow Nicholas III, is a registered financial professional currently at INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1986. Frederick has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick Snow Nicholas Iii

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 Frederick S Nicholas III's CRS (Customer Relationship Summary).
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 26, 2025 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
BD
CRD#: 20291
Dallas, TX
Past

January 2, 2024 - August 21, 2025

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
SCHAUMBURG, IL
Past

June 6, 2018 - December 31, 2023

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

November 2, 2016 - July 5, 2017

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
NEW YORK, NY
Past

September 17, 2014 - October 21, 2016

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
MERIDEN, CT
Past

July 22, 2010 - August 18, 2014

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
STONINGTON, CT
Past

May 25, 2010 - June 7, 2010

FINACORP SECURITIES

BD
CRD#: 41569
IRVINE, CA
Past

September 13, 2006 - April 24, 2009

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

September 24, 1992 - March 7, 2006

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

April 29, 1988 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY
Past

April 29, 1988 - December 31, 1991

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

September 24, 1986 - January 26, 1988

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(8/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/5/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INSTITUTIONAL SECURITIES CORPORATION
INSTITUTIONAL SECURITIES CORPORATION | ISC GROUP, INC.

CRD#: 20291 / SEC#: 801-36967, 8-38158

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

Main Address
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
Mailing Address
3500 Oak Lawn Ave Suite 400, Dallas, TX 75219
Phone number
(214) 520-1115
Established
Texas since 06/24/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
ISC GROUP, INC.OWNS APPLICANT
HAYES, SCOTT ALLENPRESIDENT2375916
NEIDLINGER, CHRISTOPHER WADECHIEF COMPLIANCE OFFICER2963179
STERLING, DONALD WILLIAMFINANCIAL OPERATIONS PRINCIPAL1192425

Disclosures

Regulatory Event1

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

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291Dallas, TX 75219

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