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Nicholas A. Rieser

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CRD#: 4960392
NR

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 Alexander Rieser 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 63, SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 26, 2015 - November 11, 2016

HOVDE GROUP, LLC

BD
CRD#: 25425
NEW YORK, NY
Past

September 22, 2008 - February 19, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

September 26, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 20, 2005 - September 6, 2007

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/11/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/2005
General Securities Representative Examination

Current Firm

HG
HOVDE GROUP, LLC
HOVDE GROUP, LLC | HOVDE SECURITIES, INC. | HOVDE SECURITIES LLC

CRD#: 25425 / SEC#: , 8-41597

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

Main Address
1629 Colonial Parkway, Inverness, IL 60067
Mailing Address
1629 Colonial Parkway, Inverness, IL 60067
Phone number
(847) 991-6622
Established
Delaware since 10/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOVDE, STEVEN DONALDCHAIRMAN, CHIEF EXECUTIVE OFFICER1907781
BARBARINE, NICKOLAS JOHNSENIOR MANAGING PARTNER2274812
HOVDE, KIRK STEVENMANAGING PARTNER/HEAD OF INVESTMENT BANKING5552791
DAVIS, PATRICIA LYNNCHIEF COMPLIANCE OFFICER5613123
DIJOHN, ANTHONY JOHNCFO/FINOP6370306
HEDREI, MICHAEL STEPHENMANAGING PARTNER/HEAD OF CAPITAL MARKETS4243972

Disclosures

Regulatory Event1

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

HOVDE GROUP, LLC

CRD#: 25425

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