Nicholas C. Humphries
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 Charles Humphries, who also goes by Nicholas Humphries, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2005. Nicholas had worked at 6 firms and has passed the Series 66, 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
January 22, 2019 - July 2, 2019
CLSA AMERICAS, LLC
May 15, 2018 - July 2, 2019
CLSA AMERICAS, LLC
May 4, 2015 - May 17, 2018
CLARKSONS SECURITIES, INC
April 10, 2014 - October 1, 2015
D/B/A CLARKSONS PLATOU SECURITIES
April 12, 2010 - May 5, 2014
CREDIT SUISSE SECURITIES (USA) LLC
March 28, 2007 - March 26, 2010
NATIXIS SECURITIES AMERICAS LLC
August 24, 2005 - December 15, 2006
CITIGROUP GLOBAL MARKETS 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
Exams
Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
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.
