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LN

Lee C. Nicholson

KOVACK SECURITIES
ELKTON, VA
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CRD#: 2400359
LN

Professional summary


Lee Christian Nicholson, who also goes by Christian Nicholson, is a registered financial professional currently at KOVACK SECURITIES INC. located in Elkton, Virginia.

Lee is registered as a RR (Registered Representative) and started their career in finance in 1993. Lee has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Christian Nicholson

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) - BD


Click below to view Lee Christian Nicholson's CRS (Customer Relationship Summary).
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®
None

Experience


Current

January 3, 2005 - Present

KOVACK SECURITIES INC.

BD
CRD#: 44848
ELKTON, VA
Past

October 13, 1998 - December 31, 2004

THE INVESTMENT CENTER, INC.

BD
CRD#: 17839
BEDMINSTER, NJ
Past

January 2, 1996 - October 9, 1998

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

October 28, 1993 - December 7, 1995

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA

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
California
(1/3/2005)
RR
Maryland
(1/4/2005)
RR
Michigan
(1/7/2013)
RR
New York
(2/1/2005)
RR
North Carolina
(1/4/2005)
RR
Pennsylvania
(1/5/2005)
RR
South Carolina
(1/5/2005)
RR
Texas
(1/7/2013)
RR
Virginia
(1/3/2005)

Exams


State Security Law Exam
RR
Series 63
Date: 10/5/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

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


Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures


Regulatory Event5
Arbitration5

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


KOVACK SECURITIES INC.

CRD#: 44848Elkton, VA

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