GN
Giles T. Nicholson
SIEBERT WILLIAMS SHANK & CO.
New York, NY 10005
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CRD#: 2012514
GN
Professional summary
Giles Timothy Greer Nicholson is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.
Giles is registered as a RR (Registered Representative) and started their career in finance in 1990. Giles has worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 79, Series 7, Series 24 and Series 53 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Giles Timothy Greer Nicholson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 17, 2024 - Present
SIEBERT WILLIAMS SHANK & CO., LLC
Office #1: 100 Wall Street 18th Floor, New York, NY 10005Office #2: 361 Newbury Street 4th Floor, Boston, MA 02115BD
CRD#: 42568
New York, NY
Past
April 20, 2021 - November 3, 2023
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 21, 2017 - February 1, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
New York, NY
Past
August 25, 2011 - July 26, 2017
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
September 22, 2008 - May 25, 2011
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
February 23, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 1, 2001 - January 28, 2005
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
September 17, 1990 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/1/2024)
RR
Alaska(1/17/2024)
RR
Arizona(1/17/2024)
RR
Arkansas(1/17/2024)
RR
California(1/17/2024)
RR
Colorado(1/17/2024)
RR
Connecticut(1/17/2024)
RR
Delaware(1/17/2024)
RR
District of Columbia(1/17/2024)
RR
Florida(1/17/2024)
RR
Georgia(1/17/2024)
RR
Hawaii(1/17/2024)
RR
Idaho(1/17/2024)
RR
Illinois(1/17/2024)
RR
Indiana(1/17/2024)
RR
Iowa(1/17/2024)
RR
Kansas(1/17/2024)
RR
Kentucky(1/17/2024)
RR
Louisiana(1/17/2024)
RR
Maine(1/17/2024)
RR
Maryland(1/17/2024)
RR
Massachusetts(1/17/2024)
RR
Michigan(1/17/2024)
RR
Minnesota(1/17/2024)
RR
Mississippi(1/17/2024)
RR
Missouri(1/17/2024)
RR
Montana(1/17/2024)
RR
Nebraska(1/17/2024)
RR
Nevada(1/17/2024)
RR
New Hampshire(1/17/2024)
RR
New Jersey(1/17/2024)
RR
New Mexico(1/17/2024)
RR
New York(1/17/2024)
RR
North Carolina(1/17/2024)
RR
Ohio(1/17/2024)
RR
Oklahoma(1/17/2024)
RR
Oregon(1/17/2024)
RR
Pennsylvania(1/17/2024)
RR
Puerto Rico(1/17/2024)
RR
Rhode Island(1/17/2024)
RR
South Carolina(1/17/2024)
RR
Tennessee(1/17/2024)
RR
Texas(1/17/2024)
RR
Utah(1/17/2024)
RR
Vermont(1/17/2024)
RR
Virginia(1/17/2024)
RR
Washington(1/17/2024)
RR
West Virginia(1/17/2024)
RR
Wisconsin(1/17/2024)
RR
Wyoming(1/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC
CRD#: 42568 / SEC#: , 8-49877
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHANK WILLIAMS CISNEROS, LLC | OWNER | |
| CALABRISOTTO, DIANNE NMN | AML OFFICER | 1273900 |
| CALABRISOTTO, DIANNE NMN | CHIEF COMPLIANCE OFFICER & COO | 1273900 |
| CHANDA, ATEESH SINGH | CHIEF LEGAL OFFICER | 6973151 |
| DIAZ, DANIEL | FINANCIAL PRINCIPAL | 2214417 |
| HALL, GARY | CO-PRESIDENT | 4393662 |
| SHANK-WERDLOW, SUZANNE FRANCES | CEO, DIRECTOR OF PARENT | 1860931 |
| THOMPSON, WILLIAM COLRIDGE JR | CHIEF ADMINISTRATIVE OFFICER | 2316101 |
| WARNER, SOBANI MULENGA | CO-PRESIDENT | 1732009 |
Disclosures
| Regulatory Event | 4 |
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.
