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Nicholas Stewart Hare

CRD# 1562072·Registered 1987 - 2014
Previously Registered: Being a previously registered professional could mean that Nicholas 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.

Professional Summary

Nicholas Stewart Hare was a registered financial advisor. Nicholas was a previously registered financial professional and started their career in finance 1987 - 2014. Nicholas had worked at 13 firms and has passed the Series 63, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

BENDIGO SECURITIES, LLC·CRD# 152529
BD
New Yok, NY
January 15, 2014 - August 1, 2014
SWEDBANK SECURITIES US, LLC·CRD# 141190
BD
New York, NY
June 15, 2010 - July 8, 2011
PARETO SECURITIES INC.·CRD# 44734
BD
New York, NY
May 18, 2005 - June 10, 2010
LEDGEMONT CAPITAL MARKETS LLC·CRD# 119340
BD
New York, NY
November 5, 2004 - April 29, 2005
PORTIGON SECURITIES INC.·CRD# 10050
BD
New York, NY
December 11, 2000 - April 5, 2002
COMMERZBANK CAPITAL MARKETS CORP.·CRD# 21787
BD
New York, NY
January 25, 2000 - October 19, 2000
NOMURA SECURITIES INTERNATIONAL, INC.·CRD# 4297
BD
New York, NY
November 5, 1998 - January 18, 2000
SBC WARBURG DILLON READ INC.·CRD# 1650
BD
Stamford, CT
May 15, 1998 - June 29, 1998
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
February 7, 1996 - October 5, 1998
ABN AMRO ASIA INC.·CRD# 37057
BD
New York, NY
June 22, 1995 - February 6, 1996
MCINTOSH & COMPANY, INC.·CRD# 16935
BD
October 30, 1993 - April 7, 1995
E*TRADE CLEARING LLC·CRD# 25025
BD
Jersey City, NJ
February 27, 1990 - November 20, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
February 24, 1987 - May 4, 1988

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Current Firm

BS
BENDIGO SECURITIES, LLC

BENDIGO SECURITIES, LLC | CROWDCLEAR

CRD#: 152529 / SEC#: 8-68462
BD
Terminated by SEC on 11/28/2015

Contact Information

Established

Delaware since 10/21/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

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

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2005About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Mar 2006

Series 7 — General Securities Representative Examination

Passed Feb 1987About the Series 7 exam

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CRS (Client Relationship Summary)

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

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