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ND

Nicholas J. Delegram

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CRD#: 1795281
ND

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 Joseph Delegram, who also goes by Nicholas Delegram, Nick Delegram, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1988. Nicholas had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Delegram | Nick Delegram

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

August 10, 2011 - May 15, 2020

BROADSTONE SECURITIES

BD
CRD#: 101600
ALBANY, NY
Past

August 28, 2000 - September 9, 2009

BROADSTONE SECURITIES

BD
CRD#: 101600
FARMINGTON HILLS, MI
Past

July 31, 2000 - August 8, 2000

MEADOWBROOK SECURITIES INC.

BD
CRD#: 37305
TROY, MI
Past

December 23, 1998 - July 3, 2000

MEADOWBROOK SECURITIES INC.

BD
CRD#: 37305
TROY, MI
Past

February 2, 1998 - December 15, 1998

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

May 8, 1995 - February 11, 1998

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

April 22, 1992 - November 9, 1994

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

June 3, 1991 - December 31, 1991

USA FINANCIAL GROUP, INC.

BD
CRD#: 17819
Past

April 18, 1990 - December 3, 1990

EMPIRE NATIONAL SECURITIES, INCORPORATED

BD
CRD#: 7361
Past

June 21, 1988 - January 10, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323

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: 2/9/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/5/1988
National Commodity Futures Examination

Current Firm

BS
BROADSTONE SECURITIES
BROADSTONE SECURITIES | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.

CRD#: 101600 / SEC#: , 8-52094

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

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
Michigan since 09/10/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WENTWORTH MANAGEMENT SERVICES, LLCHOLDING COMPANY
BOHLEY, TRACEY LEAFINOP, CHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIECEO/CCO4405001

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

BROADSTONE SECURITIES

CRD#: 101600

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