Nicholas R. Cotter
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.
Nicholas Ryan Cotter, who also goes by Nick Cotter, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2001. Nicholas had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2011 - December 31, 2012
SAGE CAPITAL HOLDINGS, LLC
March 10, 2011 - March 28, 2011
CERTUSSECURITIES, INC.
March 2, 2011 - August 3, 2015
CERTUSSECURITIES, INC.
September 12, 2007 - February 25, 2010
FIRST LEGACY SECURITIES, LLC
September 5, 2007 - February 25, 2010
FIRST LEGACY SECURITIES, LLC
November 20, 2006 - August 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2006 - August 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 2003 - August 9, 2007
GPC SECURITIES, INC.
February 12, 2003 - March 7, 2003
MORGAN STANLEY DW INC.
October 10, 2001 - March 7, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
SAGE CAPITAL HOLDINGS, LLC
CRD#: 154306 / SEC#: 801-71690
Contact information
Red Flags
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