Nina F. Tannenbaum

N.A. INVESTCORP LLC

New York, NY 10017

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CRD#: 4038977

Professional summary

Nina Fay Tannenbaum, who also goes by Nina F. Tannenbaum, is a registered financial professional currently at N.A. INVESTCORP LLC located in New York, New York.

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

Question & Answer

Are you a "fiduciary"?

Aliases

Nina F. Tannenbaum

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 Nina Fay Tannenbaum'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

December 18, 2024 - Present

N.A. INVESTCORP LLC

Office #1: 280 Park Avenue 39th Floor, New York, NY, 10017Office #2: 280 Park Avenue 39th Floor, New York, NY, 10017

CRD#: 134162

New York, NY

Past

July 6, 2021 - December 13, 2022

OLD CITY SECURITIES LLC

CRD#: 171910

NEW YORK, NY

Past

April 24, 2019 - May 21, 2020

NUVEEN SECURITIES, LLC

CRD#: 469

New York City, NY

Past

August 10, 2016 - May 24, 2017

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

July 12, 2013 - May 8, 2015

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

December 17, 2010 - March 14, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 19, 2005 - January 11, 2007

BLACKSTONE SECURITIES PARTNERS L.P.

CRD#: 17917

NEW YORK, NY

Past

February 14, 2001 - June 25, 2003

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

December 21, 1999 - January 16, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(4/17/2025)

Exams

State Security Law Exam

Series 63

Date: 4/17/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/19/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/20/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

N.A. INVESTCORP LLC

CRD#: 134162 / SEC#: , 8-66812

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

280 Park Avenue 39th Floor, New York, NY, 10017

Mailing Address

280 Park Avenue 39th Floor, New York, NY, 10017

Phone number

(212) 599-4700

Established

Delaware since 11/23/2004

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
INVESTCORP INTERNATIONAL HOLDINGS, INC.	SHAREHOLDER
GOLDCHAIN, SCOTT DAVID	PRESIDENT AND CHIEF EXECUTIVE OFFICER	3276936
MURPHY, BRIAN JOSEPH	SECRETARY	1720020
QASIMI, SAMI	CHIEF COMPLIANCE OFFICER	5640450
SHEA, PATRICK OFARRELL	HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL	838154

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.

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Advisor Monitoring

Firm Stability Insights

Nina F. Tannenbaum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nina Fay Tannenbaum's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLD CITY SECURITIES LLC

NUVEEN SECURITIES, LLC

ALPS DISTRIBUTORS, INC.

SANFORD C. BERNSTEIN & CO., LLC

CITIGROUP GLOBAL MARKETS INC.

BLACKSTONE SECURITIES PARTNERS L.P.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

JPMSI

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2025

SIE

Date: 5/24/2017

Series 3

Date: 10/19/2016

Series 7

Date: 12/20/1999

FINRA

Current Firm

N.A. INVESTCORP LLC

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

N.A. INVESTCORP LLC

TRUST BUT VERIFY

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