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NM

Nimish Mathur

CREDIT AGRICOLE SECURITIES (USA)
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 4716721
NM

Professional summary

Nimish Mathur is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in Menlo Park, California.

Nimish is registered as a RR (Registered Representative) and started their career in finance in 2004. Nimish has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Nimish Mathur'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

June 1, 2021 - Present

CREDIT AGRICOLE SECURITIES (USA) INC.

Office #1: 2420 Sand Hill Road Suite 202, Menlo Park, CA 94025
BD
CRD#: 190
Menlo Park, CA
Past

August 13, 2012 - June 1, 2021

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

November 15, 2010 - April 18, 2011

NOMURA SECURITIES NORTH AMERICA, LLC

BD
CRD#: 42885
NEW YORK, NY
Past

November 15, 2010 - September 22, 2011

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

September 22, 2008 - September 2, 2010

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

March 22, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 7, 2004 - April 27, 2005

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

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
Arizona
(6/1/2021)
RR
California
(6/1/2021)
RR
Florida
(6/1/2021)
RR
Illinois
(6/1/2021)
RR
Massachusetts
(6/1/2021)
RR
New York
(6/1/2021)
RR
Ohio
(6/1/2021)
RR
Texas
(6/1/2021)
RR
Virginia
(6/1/2021)
RR
Washington
(6/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.
CREDIT AGRICOLE SECURITIES (USA) INC.
CALYON SECURITIES (USA) INC | EURO PARTNERS SECURITIES CORPORATION | CREDIT LYONNAIS SECURITIES (USA), INC. | CREDIT AGRICOLE SECURITIES (USA) INC. | CL GLOBALPARTNERS SECURITIES CORPORATION | CALYON SECURITIS (USA) INC.

CRD#: 190 / SEC#: , 8-13753

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

Main Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Phone number
(212) 261-7000
Established
New York since 01/30/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")SHAREHOLDER
ARNAL, CELINEDIRECTOR7247072
GEROLD, MARIA TERESACFO5967881
HETIER, FRANCOIS-EDOUARD MARIE MARCDIRECTOR7817148
KURZ, WILLIAM FRANKMEMBER OF THE BOARD OF DIRECTORS AND COO7602164
PUBLIE, STEPHANEINTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS5978052
YOUN, EDWARD KYUNG-HOCHIEF COMPLIANCE OFFICER6723958
ZAFAR, KASHIFMANAGING DIRECTOR2666642

Disclosures

Regulatory Event18

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

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190Menlo Park, CA 94025

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