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Nicholas S. Hare

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CRD#: 1562072
NH

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.

Nicholas Stewart Hare was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1987. Nicholas had worked at 13 firms and has passed the Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

January 15, 2014 - August 1, 2014

BENDIGO SECURITIES, LLC

BD
CRD#: 152529
NEW YOK, NY
Past

June 15, 2010 - July 8, 2011

SWEDBANK SECURITIES US, LLC

BD
CRD#: 141190
NEW YORK, NY
Past

May 18, 2005 - June 10, 2010

PARETO SECURITIES INC.

BD
CRD#: 44734
NEW YORK, NY
Past

November 5, 2004 - April 29, 2005

LEDGEMONT CAPITAL MARKETS LLC

BD
CRD#: 119340
NEW YORK, NY
Past

December 11, 2000 - April 5, 2002

PORTIGON SECURITIES INC.

BD
CRD#: 10050
NEW YORK, NY
Past

January 25, 2000 - October 19, 2000

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

November 5, 1998 - January 18, 2000

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

May 15, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

February 7, 1996 - October 5, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

June 22, 1995 - February 6, 1996

ABN AMRO ASIA INC.

BD
CRD#: 37057
NEW YORK, NY
Past

October 30, 1993 - April 7, 1995

MCINTOSH & COMPANY, INC.

BD
CRD#: 16935
Past

February 27, 1990 - November 20, 1992

E*TRADE CLEARING LLC

BD
CRD#: 25025
JERSEY CITY, NJ
Past

February 24, 1987 - May 4, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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: 2/11/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/1/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/21/1987
General Securities Representative Examination

Current Firm

BS
BENDIGO SECURITIES, LLC
BENDIGO SECURITIES, LLC | CROWDCLEAR

CRD#: 152529 / SEC#: , 8-68462

BD
Terminated by SEC on 11/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CROWD CLEAR INC.SOLE OWNER
KATZ, MICHAEL RONALDCHIEF COMPLIANCE OFFICER & AML873982
KATZ, MICHAEL RONALDCOO873982
REYES, CHRISTOPHER VALENTINFINOP2105804
TAYLOR, RICHARD DAVIDCEO4944380

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

BENDIGO SECURITIES, LLC

CRD#: 152529

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