Nickolas Spears
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.
Nickolas Spears, who also goes by Nicolas Hercules Andreas Jr, Nicolas Hercules Andrews Jr, Nicolas Julio Andrews Jr, Nicolas Andrews Jr, Nicolas Andrews, Nick Spears, Nicolas Spears, was a registered financial professional .
Nickolas is a previously registered financial professional and started their career in finance in 1996. Nickolas had worked at 22 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2014 - October 1, 2014
WINDSOR STREET CAPITAL, LP
June 21, 2010 - July 11, 2014
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
December 15, 2009 - June 11, 2010
CALDWELL INTERNATIONAL SECURITIES
April 9, 2009 - November 13, 2009
BROOKVILLE CAPITAL PARTNERS
April 9, 2008 - March 18, 2009
OBSIDIAN FINANCIAL GROUP, LLC
April 26, 2006 - April 15, 2008
WESTROCK ADVISORS, INC.
March 19, 2004 - March 1, 2006
AURA FINANCIAL SERVICES, INC.
April 10, 2002 - March 4, 2004
SALOMON GREY FINANCIAL CORPORATION
December 21, 2001 - April 2, 2002
EKN FINANCIAL SERVICES INC.
November 28, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
June 8, 2001 - November 16, 2001
CONTINENTAL BROKER-DEALER CORP.
October 8, 1999 - June 15, 2001
MILLENNIUM SECURITIES CORP.
July 29, 1999 - October 8, 1999
CARIBBEAN SECURITIES LLC
May 19, 1999 - August 19, 1999
PHD CAPITAL
June 29, 1998 - May 24, 1999
ROYAL HUTTON SECURITIES CORP.
May 18, 1998 - July 6, 1998
GLENN MICHAEL FINANCIAL, INC.
April 27, 1998 - May 26, 1998
BROWNSTONE CAPITAL CORP.
January 8, 1998 - April 22, 1998
CHATFIELD DEAN & CO., INC.
January 6, 1998 - January 28, 1998
BRAUER & ASSOCIATES, INC.
November 7, 1997 - January 6, 1998
BRAUER & ASSOCIATES, INC.
March 10, 1997 - November 18, 1997
PARAGON CAPITAL MARKETS, INC.
February 26, 1997 - March 25, 1997
RICKEL & ASSOCIATES, INC.
May 21, 1996 - February 26, 1997
JOSEPH STEVENS & 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
Exams
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
