Nicolas P. Billeaud
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicolas Pierre Billeaud was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2003. Nicolas had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2013 - October 11, 2017
LIGHT HORSE SECURITIES, INC
May 12, 2009 - March 28, 2013
SARATOGA CAPITAL MARKETS
November 15, 2006 - November 20, 2008
HSBC SECURITIES (USA) INC.
April 21, 2006 - September 5, 2006
B. RILEY WEALTH MANAGEMENT
June 13, 2005 - August 10, 2005
MAXIM GROUP LLC
September 5, 2003 - April 19, 2005
BNP PARIBAS SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LIGHT HORSE SECURITIES, INC
CRD#: 120242 / SEC#: , 8-65270
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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