Marshall A. Nicholson
Professional summary
Marshall Allen Nicholson is a registered financial professional currently at INSPEREX LLC located in Charlotte, North Carolina.
Marshall is registered as a RR (Registered Representative) and started their career in finance in 2002. Marshall has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marshall Allen Nicholson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2023 - Present
INSPEREX LLC
June 16, 2021 - June 24, 2022
SUMRIDGE PARTNERS, LLC
January 3, 2020 - August 11, 2020
TMC BONDS L.L.C.
December 4, 2018 - October 1, 2020
ICE BONDS SECURITIES CORPORATION
October 1, 2014 - November 27, 2018
MILLENNIUM ADVISORS, LLC
January 19, 2011 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
December 8, 2010 - October 15, 2014
VIRTU AMERICAS LLC
November 27, 2002 - January 21, 2011
KNIGHT BONDPOINT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2023)
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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