Nicholas H. Kroeper
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 Horace Kroeper was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1976. Nicholas had worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2000 - January 2, 2023
SENTINEL BROKERS COMPANY, INC.
October 1, 1999 - December 16, 1999
HARTFIELD, TITUS & DONNELLY, LLC
September 28, 1987 - December 15, 1999
TITUS & DONNELLY LLC
March 21, 1978 - June 23, 1987
SMITH MITCHELL INVESTMENT GROUP INC.
April 21, 1977 - April 2, 1978
AMERICAN SECURITIES BD CO., L.P.
September 14, 1976 - October 20, 1981
J. J. BRADLEY & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 54FN
Date: 10/15/1983
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
SENTINEL BROKERS COMPANY, INC.
CRD#: 40305 / SEC#: , 8-49005
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL BROKERS LLC | SHAREHOLDER | |
| SED CAPITAL PTE LTD | OWNER | |
| LAWLESS, JOSEPH MATHEW | CEO, CCO | 1783307 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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