Nicholas G. Ross
Professional summary
Nicholas Glenn Ross, who also goes by Nicholas G Ross, Nick Ross, is a registered financial professional currently at BARNABAS CAPITAL, LLC located in Charlotte, North Carolina.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1995. Nicholas has worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Glenn Ross's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2019 - Present
BARNABAS CAPITAL, LLC
Office #1: 227 West Trade Street Suite 1610, Charlotte, NC 28202March 10, 2020 - December 31, 2021
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
May 17, 2016 - July 26, 2019
THE LEADERS GROUP, INC.
June 23, 2011 - September 23, 2011
WFG ADVISORS, LP
June 23, 2011 - March 30, 2016
WFG INVESTMENTS, INC.
October 5, 2010 - April 19, 2011
J.J.B. HILLIARD, W.L. LYONS, LLC
June 7, 2010 - October 15, 2010
KESTRA INVESTMENT SERVICES, LLC
March 20, 2009 - February 22, 2010
VOYA FINANCIAL ADVISORS, INC.
March 7, 2005 - March 23, 2009
ASH SECURITIES WHOLESALING, INC.
January 1, 2004 - March 19, 2004
VOYA FINANCIAL ADVISORS, INC.
August 6, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 23, 2001 - August 13, 2002
SII INVESTMENTS, INC.
July 24, 1995 - September 3, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/18/2022)
(12/5/2022)
(8/20/2019)
(10/18/2023)
(1/1/2022)
(12/5/2022)
(12/5/2022)
(12/5/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BARNABAS CAPITAL, LLC
CRD#: 297890 / SEC#: , 8-70192
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBASSADOR CAPITAL, LLC | DIRECT OWNER | |
| CAPITAL CALL, LLC | DIRECT OWNER | |
| COOPER FAMILY ENTERPRISES, LLC | DIRECT OWNER | |
| ERICKA A. CAIN OR SUCCESSOR, AS TRUSTEE OF THE REVOCABLE TRUST OF ERICKA A. CAIN U/A/D JUNE 23, 2010 | DIRECT OWNER | |
| LEE, JOSEPH CHARLES JR | DIRECT OWNER | 2783885 |
| LIFE INNOVATIONS, LLC | DIRECT OWNER | |
| WILLIAM H. CAIN, OR SUCCESSOR, AS TRUSTEE OF THE REVOCABLE TRUST OF WILLIAN H. CAIN U/A/D JUNE 23, 2010 | DIRECT OWNER | |
| CAIN, ERICKA ADAMS MS. | TRUSTEE | |
| CAIN, WILLIAM HENRY | TRUSTEE | |
| ENTERLINE CAPITAL, LLC | DIRECT OWNER | |
| HAYES, SUSAN ANN | FINOP / PFO / POO | 2856326 |
| POWELL, JOSEPH CARL | PRESIDENT | 4798071 |
| STANTON, KIMBERLY MARIE | CHIEF COMPLIANCE OFFICER | 6574919 |
Red Flags
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