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NH

Nicole F. Herley

Some features on this profile are disabled
CRD#: 1726761
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.

Nicole Finamore Herley, who also goes by Nicole Finamore, Nicole Herley, Nicole Finamore Herley, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 1988. Nicole had worked at 13 firms and has passed the Series 63, SIE, Series 56, Series 55, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Finamore | Nicole Herley | Nicole Finamore Herley

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

March 8, 2018 - December 26, 2024

LEAGUE CAPITAL MARKETS

BD
CRD#: 170803
NEW YORK, NY
Past

August 18, 2015 - March 9, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

January 27, 2012 - September 16, 2013

WORLD-XECUTION STRATEGIES

BD
CRD#: 134645
NEW YORK, NY
Past

January 6, 2009 - September 6, 2013

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

October 8, 2007 - December 9, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
JERSEY CITY, NJ
Past

March 19, 2007 - September 24, 2007

W.A. CAPITAL MARKETS

BD
CRD#: 6292
NEW YORK, NY
Past

March 8, 2006 - March 15, 2007

SETON SECURITIES GROUP, INC.

BD
CRD#: 18044
UNION BEACH, NJ
Past

October 11, 2005 - February 28, 2006

T.R. WINSTON & COMPANY, LLC

BD
CRD#: 10571
BEDMINSTER, NJ
Past

January 5, 2004 - October 5, 2005

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW CANAAN, CT
Past

March 20, 1997 - January 22, 2004

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

August 21, 1996 - February 11, 1997

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

January 26, 1996 - July 29, 1996

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

May 25, 1988 - January 1, 1996

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY

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: 10/13/1988
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 56
Date: 7/22/2011
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 55
Date: 5/13/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/21/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/23/1996
Registered Options Principal Examination

Current Firm

LC
LEAGUE CAPITAL MARKETS
FORT GHENT BROKERAGE LLC | LEAGUE CAPITAL MARKETS

CRD#: 170803 / SEC#: , 8-69432

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

Main Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105
Phone number
(212) 588-0580
Established
New York since 11/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEAGUEMED ENTERPRISES, LLCOWNER
DAUSEND, DOROTHY THERESASUPERVISORY PRINCIPAL1326747
GALLAGHER, JOHN JOSEPH JRCEO3128509
MACK, ALEXANDER HERBERTFINOP4805607
MACK, DAVIDPRESIDENT2164969
URQUIOLA, JEAN CAROLCCO, VICE PRESIDENT1806619

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

LEAGUE CAPITAL MARKETS

CRD#: 170803

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