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Nicole L. Newhook

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CRD#: 2926958
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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.

Nicole Lawen Biernat Newhook, who also goes by Nicole Lawen Biernat, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 1997. Nicole had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Lawen Biernat

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

March 12, 2018 - January 2, 2021

ALPHASOURCE CAPITAL SECURITIES LLC

BD
CRD#: 145875
EAST QUOGUE, NY
Past

February 22, 2016 - February 23, 2018

HB SECURITIES, LLC

BD
CRD#: 140356
New York, NY
Past

March 27, 2013 - November 13, 2015

FIRST LIBERTIES FINANCIAL

BD
CRD#: 14432
TAMPA, FL
Past

April 27, 2011 - July 2, 2012

OMNICAP, LLC

BD
CRD#: 137353
NEW YORK, NY
Past

March 16, 2007 - April 21, 2011

JUNIPER CAPITAL GROUP, LLC

BD
CRD#: 122952
NEW YORK, NY
Past

January 31, 2007 - March 8, 2007

C3 CAPITAL, LLC

BD
CRD#: 119155
NEW YORK, NY
Past

January 6, 2004 - February 3, 2005

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

September 11, 1997 - January 29, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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: 10/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/7/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2022
General Securities Principal Examination

Current Firm

AC
ALPHASOURCE CAPITAL SECURITIES LLC
ALPHASOURCE CAPITAL SECURITIES LLC

CRD#: 145875 / SEC#: , 8-67759

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
35 Walker Avenue, East Quogue, NY 11942
Mailing Address
35 Walker Avenue, New York, NY 11942
Phone number
(212) 308-4500
Established
New York since 06/28/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LECANN, NOELLE-CLAIREPRESIDENT, MANAGING MEMBER, GSP, CCO, FINOP1826421

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

ALPHASOURCE CAPITAL SECURITIES LLC

CRD#: 145875

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