Nicholas M. Bloomfield
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 Michael Bloomfield, who also goes by Nick Michael Bloomfield, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2005. Nicholas had worked at 4 firms and has passed the Series 66, SIE, Series 31 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
April 28, 2015 - April 10, 2017
GRIFFIN CAPITAL SECURITIES, LLC
February 13, 2012 - February 25, 2014
CCO CAPITAL, LLC
January 3, 2012 - February 8, 2012
CHARLES SCHWAB & CO., INC.
November 13, 2006 - December 31, 2011
CHARLES SCHWAB & CO., INC.
November 13, 2006 - February 8, 2012
CHARLES SCHWAB & CO., INC.
September 20, 2005 - October 5, 2005
MORGAN STANLEY DW INC.
August 25, 2005 - October 5, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
GRIFFIN CAPITAL SECURITIES, LLC
CRD#: 37739 / SEC#: , 8-47891
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
