Nicholas J. Lorenzo
Professional summary
Nicholas Joseph Lorenzo was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas Joseph Lorenzo, who also goes by Nicholas Joseph Lorenzo Jr, Nicholas Joseph Lorenzo, Nichols Joseph Lorenzo, is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York and CANTOR FITZGERALD & CO. located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1998. Nicholas has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Joseph Lorenzo's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2016 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119November 11, 2025 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022January 18, 2016 - October 27, 2016
CIBC WORLD MARKETS CORP.
March 24, 2015 - January 5, 2016
CANTOR FITZGERALD & CO.
September 10, 2013 - May 15, 2014
CITIGROUP GLOBAL MARKETS INC.
December 10, 2012 - August 22, 2013
SANTANDER SECURITIES LLC
June 27, 2007 - December 2, 2008
SAL EQUITY TRADING, GP
June 27, 2007 - June 28, 2012
SUSQUEHANNA FINANCIAL GROUP, LLLP
October 11, 2000 - July 2, 2007
PRUDENTIAL EQUITY GROUP, LLC
March 27, 2000 - August 18, 2000
ABN AMRO SECURITIES LLC
November 17, 1998 - November 29, 1999
HILL THOMPSON MAGID & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/24/2016)
(10/24/2016)
(11/11/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/28/2001
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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