Nicholas R. Thoms
Professional summary
Nicholas R Thoms, who also goes by Nicholas Raymond Thoms, is a registered financial professional currently at TP ICAP GLOBAL MARKETS AMERICAS LLC located in Edison, New Jersey.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas R Thoms's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2009 - Present
TP ICAP GLOBAL MARKETS AMERICAS LLC
Office #1: 333 Thornall Street 10th Fl, Edison, NJ 08854December 5, 2006 - October 14, 2008
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/12/2020)
(1/13/2009)
(1/13/2009)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/14/2011
Limited Representative-Equity Trader ExamFINRA
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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