Nicholas R. Wood
Professional summary
Nicholas Richard Wood, who also goes by Nicholas R Wood, is a registered financial professional currently at DNB MARKETS, INC. located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2002. Nicholas has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Richard Wood's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2022 - Present
DNB MARKETS, INC.
Office #1: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001November 9, 2020 - August 23, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 24, 2012 - November 8, 2020
MAINFIRST SECURITIES US INC.
May 27, 2009 - August 31, 2012
KEPLER CAPITAL MARKETS, INC.
June 11, 2007 - March 27, 2009
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
August 15, 2002 - May 31, 2007
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/18/2022)
Exams
FINRA
Current Firm
DNB MARKETS, INC.
CRD#: 127605 / SEC#: , 8-66024
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DNB BANK ASA | SHAREHOLDER | |
| ANDERSEN, VIDAR | DIRECTOR | 7772839 |
| BAKKE, HEGE SIMPSON | DIRECTOR | 7772894 |
| BEHNCKE, PETER ANDREAS | DIRECTOR | 6258377 |
| BORY, MELISSA NMN | CHIEF COMPLIANCE OFFICER | 5047640 |
| BREIVIK, THOMAS OLAV OPDAHL | DIRECTOR | 7207266 |
| FELKOWSKI, BRIAN | TREASURER | 5659117 |
| JADICK, THEODORE SPENCER JR | PRESIDENT | 5847469 |
| KIRSCHENBLATT, CHAD | FINOP | 2503352 |
| MARKOWITZ, MICHAEL ERIC | SECRETARY | 7159750 |
| OPSTAD, MORTEN ALEXANDER | DIRECTOR | 6191217 |
Red Flags
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