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NM

Nicol Malas

BANCROFT CAPITAL
Uniondale, NY 11556
Some features on this profile are disabled
CRD#: 3266287
NM

Professional summary

Nicol Malas, who also goes by Nicol Malas, Malas Nicol, is a registered financial professional currently at BANCROFT CAPITAL, LLC located in Uniondale, New York.

Nicol is registered as a RR (Registered Representative) and started their career in finance in 2000. Nicol has worked at 9 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicol Malas | Malas Nicol

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 Nicol Malas'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

May 8, 2023 - Present

BANCROFT CAPITAL, LLC

Office #1: 626 Rxr Plaza 6th Floor, West Tower, Uniondale, NY 11556
RIA
BD
CRD#: 290665
Uniondale, NY
Past

February 17, 2021 - May 9, 2023

AMERICAN VETERANS GROUP, PBC

BD
CRD#: 291933
MELVILLE, NY
Past

June 19, 2020 - January 20, 2021

HILLTOP SECURITIES INC.

BD
CRD#: 6220
NEW YORK, NY
Past

October 7, 2015 - February 4, 2020

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

June 25, 2014 - October 5, 2015

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
NEW YORK, NY
Past

March 31, 2009 - June 25, 2014

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
CHICAGO, IL
Past

July 8, 2008 - March 12, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

January 16, 2006 - July 2, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

February 9, 2000 - January 16, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
New York
(5/8/2023)
RR
Pennsylvania
(6/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/13/2010
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BC
BANCROFT CAPITAL, LLC
BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Phone number
(484) 686-0346
Established
Pennsylvania since 07/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (34 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.
LINDH, COLLEEN MARNIECCO/FINOP1912150

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

BANCROFT CAPITAL, LLC

CRD#: 290665Uniondale, NY 11556

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