Nicholas C. Amos
Professional summary
Nicholas Charles Amos, who also goes by Levine Charles Amos, Nicholas Levine, is a registered financial professional currently at COMERICA SECURITIES located in Dallas, Texas.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1993. Nicholas has worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Charles Amos's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2022 - Present
COMERICA SECURITIES
Office #1: 1717 Main Street , Dallas, TX 75201August 7, 2009 - March 2, 2012
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
December 20, 2005 - July 17, 2008
J.P. MORGAN SECURITIES LLC
December 18, 2000 - April 20, 2005
CREDIT SUISSE SECURITIES (USA) LLC
January 19, 2000 - December 18, 2000
PERSHING LLC
July 17, 1997 - January 18, 2000
J.P. MORGAN SECURITIES LLC
March 4, 1993 - August 23, 1995
THE BRIDGEFORD GROUP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/28/2025)
(4/2/2025)
(11/15/2022)
Exams
Series 7TO
Date: 11/11/2022
General Securities Representative ExaminationSeries 79TO
Date: 10/7/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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Company Information
COMERICA SECURITIES
CRD#: 17079Dallas, TX 75201TRUST BUT VERIFY
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