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Nicholas C. Brophy

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CRD#: 2518703
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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 Christian Brophy was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1999. Nicholas had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

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

June 22, 2015 - December 13, 2017

CABOT LANE LLC

BD
CRD#: 143301
NEW YORK, NY
Past

June 17, 2009 - June 7, 2013

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 7, 2005 - January 3, 2009

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
NEW YORK, NY
Past

September 30, 1999 - January 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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: 3/11/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/13/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/28/2005
General Securities Principal Examination

Current Firm

CL
CABOT LANE LLC
CABOT LANE LLC | MEADOWVALE ADVISORS LLC | MATCHETT CAPITAL, LLC

CRD#: 143301 / SEC#: , 8-67550

BD
Terminated by SEC on 09/21/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/08/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MATCHETT, CHRISTOPHER JAMESCHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER2454977
LOHWATER, KARL WILLEMFINANCIAL & OPERATIONS PRINCIPAL2684561
MATCHETT, REBECCA W.PARTNER

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

CABOT LANE LLC

CRD#: 143301

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