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Nicholas A. Radez

SRT SECURITIES LLC
Chicago, IL
Some features on this profile are disabled
CRD#: 2968063
NR

Professional summary

Nicholas Anthony Radez, who also goes by Nicholas A Radez, is a registered financial professional currently at SRT SECURITIES LLC located in Chicago, Illinois.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2000. Nicholas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas A Radez

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) - BD

Click below to view Nicholas Anthony Radez's CRS (Customer Relationship Summary).

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

Current

November 7, 2022 - Present

SRT SECURITIES LLC

BD
CRD#: 33725
Chicago, IL
Past

March 14, 2002 - December 14, 2011

ESSEX RADEZ LLC

BD
CRD#: 34649
CHICAGO, IL
Past

January 18, 2000 - January 16, 2002

SANCTUARY SECURITIES, INC.

BD
CRD#: 205
MIAMI, FL

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: 2/4/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/5/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 2/28/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/2000
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

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

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event24

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

SRT SECURITIES LLC

CRD#: 33725Chicago, IL

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