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NE

Nicholas A. Erpelding

ORCHARD SECURITIES
Pleasant Grove, UT 84062
Some features on this profile are disabled
CRD#: 3241717
NE

Professional summary

Nicholas Alexander Erpelding, who also goes by Nicholas A Erpelding, Nicholas Erpelding, Nick A. Erpelding, is a registered financial professional currently at ORCHARD SECURITIES, LLC located in Pleasant Grove, Utah.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1999. Nicholas has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas A Erpelding | Nicholas Erpelding | Nick A. Erpelding

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 Alexander Erpelding's CRS (Customer Relationship Summary).
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

July 24, 2018 - Present

ORCHARD SECURITIES, LLC

Office #1: 365 Garden Grove Lane Suite 100, Pleasant Grove, UT 84062
BD
CRD#: 133378
Pleasant Grove, UT
Past

March 16, 2012 - February 22, 2018

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

November 7, 2005 - March 15, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
ENGLEWOOD, CO
Past

October 21, 1999 - March 15, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
ENGLEWOOD, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/18/2020)
RR
California
(1/21/2019)
RR
Colorado
(7/24/2018)
RR
Connecticut
(7/24/2018)
RR
Delaware
(7/24/2018)
RR
District of Columbia
(7/24/2018)
RR
Florida
(7/24/2018)
RR
Georgia
(7/24/2018)
RR
Illinois
(7/24/2018)
RR
Indiana
(7/24/2018)
RR
Iowa
(7/24/2018)
RR
Kentucky
(8/18/2020)
RR
Maine
(7/24/2018)
RR
Maryland
(7/24/2018)
RR
Massachusetts
(7/24/2018)
RR
Michigan
(7/24/2018)
RR
Minnesota
(7/24/2018)
RR
Mississippi
(8/18/2020)
RR
Missouri
(7/24/2018)
RR
New Hampshire
(7/24/2018)
RR
New Jersey
(7/24/2018)
RR
New York
(7/24/2018)
RR
North Carolina
(7/26/2018)
RR
Ohio
(7/25/2018)
RR
Pennsylvania
(7/24/2018)
RR
Rhode Island
(7/24/2018)
RR
South Carolina
(7/24/2018)
RR
Tennessee
(7/24/2018)
RR
Utah
(7/24/2018)
RR
Vermont
(7/24/2018)
RR
Virginia
(7/30/2018)
RR
West Virginia
(7/24/2018)
RR
Wisconsin
(7/24/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/3/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2015
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/18/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/10/2002
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

OS
ORCHARD SECURITIES, LLC
JOSEPH CAMERON | ORCHARD SECURITIES, LLC | JOSEPH CAMERON, LLC | JOSEPH CAMERON LLC

CRD#: 133378 / SEC#: , 8-66719

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

Main Address
365 Garden Grove Lane Suite 100, Pleasant Grove, UT 84062
Mailing Address
365 Garden Grove Lane Suite 100, Pleasant Grove, UT 84062
Phone number
(801) 316-4301
Established
Utah since 09/27/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CREEKSIDE LAND DEVELOPMENT, LLCMEMBER
FAR VISIONS, LLCMEMBER
NORTH CANYON ENTERPRISES, LLCMEMBER
TOTTENHAM INVESTMENTS, LLCMEMBER
TRIPLE CROWN SECURITES, LLCMEMBER
BADALAMENTI, CHARLES RICHARDFINOP2065038
BRADBURN, KEVIN CHRISTOPHERMANAGER, CHIEF EXECUTIVE OFFICER2718206
GARRETT, TAYLOR WESTONPRESIDENT4829547
HART, ADRIENNE YOSTCHIEF COMPLIANCE OFFICER1510179

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

ORCHARD SECURITIES, LLC

CRD#: 133378Pleasant Grove, UT 84062

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