NV
Nilsa Vazquez
WEDBUSH SECURITIES
New York, NY 10019
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CRD#: 2082522
NV
Professional summary
Nilsa Vazquez is a registered financial professional currently at WEDBUSH SECURITIES INC. located in New York, New York.
Nilsa is registered as a RR (Registered Representative) and started their career in finance in 1991. Nilsa has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 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 Nilsa Vazquez'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
October 17, 2022 - Present
WEDBUSH SECURITIES INC.
Office #1: 142 West 57th Street 12th Floor, New York, NY 10019RIA
BD
CRD#: 877
New York, NY
Past
April 23, 2020 - November 6, 2020
STONEX FINANCIAL INC.
BD
CRD#: 45993
NEW YORK, NY
Past
April 20, 2010 - March 24, 2020
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
BD
CRD#: 13233
NEW YORK, NY
Past
July 17, 2008 - March 11, 2010
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
NEW YORK, NY
Past
April 9, 2007 - June 13, 2008
STEPHENS
BD
CRD#: 3496
NEW YORK, NY
Past
August 2, 2005 - January 29, 2007
RYAN BECK & CO.
BD
CRD#: 3248
NEW YORK, NY
Past
June 6, 2002 - July 27, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
May 10, 2002 - June 4, 2002
BNY CLEARING SERVICES LLC
BD
CRD#: 15879
MILWAUKEE, WI
Past
January 23, 1998 - April 15, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
August 22, 1995 - January 7, 1998
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
May 15, 1991 - March 29, 1995
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(10/17/2022)
RR
Alaska(10/17/2022)
RR
Arizona(10/17/2022)
RR
Arkansas(10/17/2022)
RR
California(10/17/2022)
RR
Colorado(10/17/2022)
RR
Connecticut(10/17/2022)
RR
Delaware(10/17/2022)
RR
District of Columbia(10/17/2022)
RR
Florida(10/17/2022)
RR
Georgia(10/17/2022)
RR
Hawaii(10/17/2022)
RR
Idaho(10/17/2022)
RR
Illinois(10/17/2022)
RR
Indiana(10/17/2022)
RR
Iowa(10/17/2022)
RR
Kansas(10/17/2022)
RR
Kentucky(10/17/2022)
RR
Louisiana(10/17/2022)
RR
Maine(10/17/2022)
RR
Maryland(10/17/2022)
RR
Massachusetts(10/17/2022)
RR
Michigan(10/17/2022)
RR
Minnesota(10/17/2022)
RR
Mississippi(10/17/2022)
RR
Missouri(10/17/2022)
RR
Montana(10/17/2022)
RR
Nebraska(10/17/2022)
RR
Nevada(10/26/2022)
RR
New Hampshire(10/17/2022)
RR
New Jersey(10/17/2022)
RR
New Mexico(10/17/2022)
RR
New York(10/17/2022)
RR
North Carolina(10/18/2022)
RR
North Dakota(10/17/2022)
RR
Ohio(10/17/2022)
RR
Oklahoma(10/17/2022)
RR
Oregon(10/17/2022)
RR
Pennsylvania(10/17/2022)
RR
Puerto Rico(10/17/2022)
RR
Rhode Island(10/17/2022)
RR
South Carolina(10/17/2022)
RR
South Dakota(10/17/2022)
RR
Tennessee(10/17/2022)
RR
Texas(10/17/2022)
RR
Utah(10/17/2022)
RR
Vermont(10/17/2022)
RR
Virginia(10/17/2022)
RR
Washington(10/17/2022)
RR
West Virginia(10/17/2022)
RR
Wisconsin(10/17/2022)
RR
Wyoming(10/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/8/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
