Nicholas J. Termini

FIS BROKERAGE & SECURITIES SERVICES LLC

Bolingbrook, IL 60440

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CRD#: 4319872

Professional summary

Nicholas J. Termini, who also goes by Nicholas James Termini, Nick Termini, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2003. Nicholas has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas James Termini | Nick Termini

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 J. Termini'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

May 6, 2022 - Present

FIS BROKERAGE & SECURITIES SERVICES LLC

Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440

CRD#: 104162

Bolingbrook, IL

Past

July 12, 2016 - September 10, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 10, 2015 - February 18, 2016

TRADESTATION SECURITIES, INC.

CRD#: 39473

NEW YORK, NY

Past

March 3, 2014 - October 24, 2014

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

March 11, 2008 - November 20, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 25, 2004 - March 6, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 16, 2003 - September 14, 2004

EQUILEND

CRD#: 119107

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
(5/7/2022)

Exams

State Security Law Exam

Series 63

Date: 12/29/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/28/2011

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/15/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162 / SEC#: , 8-52614

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

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Contact information

Main Address

270 Remington Blvd. Suite A, Bolingbrook, IL 60440

Mailing Address

270 Remington Blvd. Suite A, Bolingbrook, IL 60440

Phone number

(630) 482-7300

Established

Delaware since 02/11/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIS CAPITAL MARKETS US LLC	SOLE MEMBER
DAMIS, JENEL CARIMA	CHIEF COMPLIANCE OFFICER	3261583
HECKER, STEVEN MICHAEL	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	3088510
PETERS, DAVID TODD	BOARD MEMBER, ASSISTANT SECRETARY	7798286
VOGEL, MICHAEL FRANCIS	CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY	2814935

Disclosures

Regulatory Event

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

Nicholas J. Termini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas J. Termini's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

TRADESTATION SECURITIES, INC.

CANACCORD GENUITY LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

EQUILEND

State Registrations and Notice Filings

Exams

Series 63

Date: 12/29/2003

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/28/2011

Series 7

Date: 12/15/2003

FINRA

Current Firm

FIS BROKERAGE & SECURITIES SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIS BROKERAGE & SECURITIES SERVICES LLC

TRUST BUT VERIFY

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