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Nicholas C. Lamaina

KRAKEN SECURITIES
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 4369556
NL

Professional summary

Nicholas Christian Lamaina, who also goes by Nicholas La Maina, Nick La Maina, Nick Lamaina, is a registered financial professional currently at KRAKEN SECURITIES located in Fort Lauderdale, Florida.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2001. Nicholas has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas La Maina | Nick La Maina | Nick Lamaina

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 Christian Lamaina'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

June 10, 2024 - Present

KRAKEN SECURITIES

Office #1: 200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301
BD
CRD#: 324343
Fort Lauderdale, FL
Past

December 16, 2021 - July 12, 2023

ETORO USA SECURITIES INC.

BD
CRD#: 298361
Hoboken, NJ
Past

August 8, 2001 - May 4, 2020

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL

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
Colorado
(12/19/2024)
RR
District of Columbia
(12/26/2024)
RR
Florida
(12/18/2024)
RR
Hawaii
(4/16/2025)
RR
Illinois
(5/12/2025)
RR
Indiana
(1/28/2025)
RR
Maine
(2/4/2025)
RR
Massachusetts
(3/4/2025)
RR
Minnesota
(12/24/2024)
RR
Mississippi
(12/15/2024)
RR
Montana
(4/18/2025)
RR
New Mexico
(3/17/2025)
RR
North Dakota
(3/12/2025)
RR
Puerto Rico
(3/7/2025)
RR
South Dakota
(1/2/2025)
RR
Tennessee
(4/28/2025)
RR
Virgin Islands
(4/23/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/30/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/14/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/7/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 6/12/2008
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KRAKEN SECURITIES
KRAKEN SECURITIES | PAYWARD EQUITIES LLC | KRAKEN SECURITIES LLC

CRD#: 324343 / SEC#: , 8-71030

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

Main Address
200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301-2299
Mailing Address
200 East Las Olas Blvd 14th Floor, Fort Lauderdale, FL 33301-2299
Phone number
(888) 837-8818
Established
Delaware since 11/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
PAYWARD, INC.SOLE MEMBER
BASKETT, ERIN ELAINECFO/ FINOP4538604
BASKETT, ERIN ELAINECCO4538604
MURRAY, BRENDAN GERARDCOO3248970

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

KRAKEN SECURITIES

CRD#: 324343Fort Lauderdale, FL 33301

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