Nicholas C. Letica
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 C Letica, who also goes by Nicholas Charles Letica, Nick Letica, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1989. Nicholas had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2018 - August 8, 2022
TD SECURITIES (USA) LLC
October 2, 2009 - April 30, 2014
CITIGROUP GLOBAL MARKETS INC.
October 1, 2008 - October 13, 2009
KNIGHT LIBERTAS LLC
July 25, 2005 - September 27, 2007
HSBC SECURITIES (USA) INC.
March 19, 2003 - July 29, 2005
DEUTSCHE BANK SECURITIES INC.
October 6, 2000 - March 19, 2003
BANC OF AMERICA SECURITIES LLC
June 21, 1993 - October 10, 2000
J.P. MORGAN SECURITIES LLC
April 9, 1990 - June 3, 1993
DB ALEX. BROWN LLC
June 13, 1989 - March 12, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
