Nicholas B. Braden

INDEPENDENT INVESTMENT BANKERS,

San Diego, CA

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CRD#: 4444834

Professional summary

Nicholas Bordenave Braden is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

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 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Bordenave Braden'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, 2014 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA

CRD#: 154134

San Diego, CA

Past

April 15, 2013 - May 5, 2014

MLV & CO. LLC

CRD#: 150959

NEW ORLEANS, LA

Past

April 11, 2011 - April 10, 2013

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

NEW ORLEANS, LA

Past

April 15, 2010 - April 12, 2011

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 6, 2009 - April 9, 2010

SONENSHINE & COMPANY LLC

CRD#: 104357

NEW YORK, NY

Past

October 31, 2007 - April 28, 2009

GREENHILL & CO., LLC

CRD#: 40290

NEW YORK, NY

Past

January 7, 2003 - July 29, 2005

JEFFERIES LLC

CRD#: 2347

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

Louisiana
(5/12/2014)

Exams

State Security Law Exam

Series 63

Date: 10/9/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas B. Braden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Bordenave Braden's CRS (Customer Relationship Summary).

Certified licenses

Experience

MLV & CO. LLC

GLOBAL HUNTER SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

SONENSHINE & COMPANY LLC

GREENHILL & CO., LLC

JEFFERIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/9/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/6/2003

Series 24

Date: 10/25/2013

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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