Nicholas Larson
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.
Nicholas Larson, who also goes by Nicholas Joseph Larson, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2003. Nicholas had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2017 - February 4, 2019
TD AMERITRADE, INC.
October 3, 2017 - February 4, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 28, 2017 - February 4, 2019
TD AMERITRADE, INC.
June 29, 2009 - February 16, 2017
HARRISDIRECT LLC
March 16, 2006 - February 16, 2017
E*TRADE SECURITIES LLC
December 14, 2004 - March 27, 2006
TD AMERITRADE, INC.
November 24, 2003 - April 8, 2004
THINKEQUITY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
