Nicholas Carmi
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 Carmi, who also goes by Nicholas G Carmi, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1999. Nicholas had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2025 - April 16, 2026
FIGURE SECURITIES, INC.
July 24, 2023 - January 19, 2024
SI SECURITIES, LLC
May 25, 2020 - July 13, 2022
PORTUM CAPITAL LLC
July 10, 2017 - May 7, 2019
TRC MARKETS LLC
September 14, 2010 - November 17, 2015
DEUTSCHE BANK SECURITIES INC.
May 14, 2009 - October 7, 2010
ARKONIS CAPITAL LLC
September 22, 2008 - December 2, 2008
BARCLAYS CAPITAL INC.
May 25, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
April 28, 2003 - May 26, 2006
UBS SECURITIES LLC
April 6, 1999 - April 10, 2003
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 99TO
Date: 7/24/2023
Operations Professional ExaminationCurrent Firm
FIGURE SECURITIES, INC.
CRD#: 307093 / SEC#: , 8-70478
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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