Nicholas A. Collins

KROLL SECURITIES LLC

Los Angeles, CA 90067

Some features on this profile are disabled

CRD#: 5033883

Professional summary

Nicholas Anthony Collins, who also goes by Nichoilas Anthony Collins, is a registered financial professional currently at KROLL SECURITIES LLC located in Los Angeles, California.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2005. Nicholas has worked at 4 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nichoilas Anthony Collins

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) - BD

Click below to view Nicholas Anthony Collins's CRS (Customer Relationship Summary).

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

Current

July 1, 2010 - Present

KROLL SECURITIES LLC

Office #1: 10100 Santa Monica Boulevard Suite 1100, Los Angeles, CA 90067

CRD#: 36927

Los Angeles, CA

Past

October 8, 2009 - November 10, 2009

FIRST ANALYSIS SECURITIES CORPORATION

CRD#: 10446

CHICAGO, IL

Past

September 20, 2007 - June 26, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 7665

CHICAGO, IL

Past

November 17, 2005 - July 31, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

November 2, 2005 - July 31, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/8/2018)

California
(3/24/2016)

District of Columbia
(3/12/2020)

Florida
(12/9/2021)

Illinois
(7/1/2010)

Indiana
(4/19/2018)

Kansas
(5/18/2015)

Michigan
(3/13/2014)

Minnesota
(3/12/2020)

Missouri
(11/21/2017)

Ohio
(8/3/2015)

Texas
(6/20/2016)

Virginia
(9/23/2020)

Wisconsin
(2/26/2015)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/20/2010

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 11/1/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KROLL SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 S. Wacker Drive Suite 700, Chicago, IL 60606

Mailing Address

1 S. Wacker Drive Suite 700, Chicago, IL 60606

Phone number

(312) 697-4600

Established

Delaware since 06/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KROLL, LLC	OWNER
ATTANASIO, ELIZABETH MARIE	PRINCIPAL FINANCIAL OFFICER	5325007
ATTANASIO, ELIZABETH MARIE	FINOP	5325007
ATTANASIO, ELIZABETH MARIE	PRINCIPAL OPERATIONS OFFICER	5325007
BARTELL, ROBERT ANTHONY	VICE CHAIRMAN	4998599
BENN, JOSHUA KOGAN	MANAGING DIRECTOR	3166674
BLOWERS, DAVID CHARLES JR.	CEO	5960307
BURT, STEPHEN M	PRESIDENT	2679117
CAPITMAN, ANDREW WILLIAM	MANAGING DIRECTOR	2321386
JANCOVIC, GIZELLE MARIE	CHIEF COMPLIANCE OFFICER	5654006
LU, DAVID HAI GE	MANAGING DIRECTOR	3069820
MOON, STEVEN JAE-HO	MANAGING DIRECTOR	4860246

Disclosures

Regulatory Event

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas A. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Anthony Collins's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST ANALYSIS SECURITIES CORPORATION

WELLS FARGO SECURITIES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2005

SIE

Date: 10/1/2018

Series 79

Date: 12/20/2010

Series 7

Date: 11/1/2005

FINRA

Current Firm

KROLL SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KROLL SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors