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Nickolas A. Smith

PARALEL DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5060548
NS

Professional summary

Nickolas A Smith, CFP®, who also goes by Nickolas Alan Smith, is a registered financial professional currently at PARALEL DISTRIBUTORS located in New York, New York.

Nickolas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nickolas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nickolas Alan Smith

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 Nickolas A Smith'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®
CFP®

Certified Financial Planner

Experience

Current

October 3, 2022 - Present

PARALEL DISTRIBUTORS

Office #1: 645 Fifth Avenue Suite 1201, New York, NY 10022
BD
CRD#: 316115
New York, NY
Past

October 26, 2010 - September 30, 2022

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

June 1, 2009 - October 8, 2009

MORGAN STANLEY

RIA
CRD#: 149777
ATLANTA, GA
Past

June 1, 2009 - October 8, 2009

MORGAN STANLEY

BD
CRD#: 149777
ATLANTA, GA
Past

August 8, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
ATLANTA, GA
Past

March 9, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
ATLANTA, GA

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(10/3/2022)
RR
Alaska
(10/3/2022)
RR
Arizona
(10/3/2022)
RR
Arkansas
(10/3/2022)
RR
California
(10/3/2022)
RR
Colorado
(10/3/2022)
RR
Connecticut
(10/3/2022)
RR
Delaware
(10/3/2022)
RR
District of Columbia
(10/3/2022)
RR
Florida
(10/3/2022)
RR
Georgia
(10/3/2022)
RR
Hawaii
(10/3/2022)
RR
Idaho
(10/3/2022)
RR
Illinois
(10/3/2022)
RR
Indiana
(10/3/2022)
RR
Iowa
(10/3/2022)
RR
Kansas
(10/3/2022)
RR
Kentucky
(10/3/2022)
RR
Louisiana
(10/3/2022)
RR
Maine
(10/3/2022)
RR
Maryland
(10/3/2022)
RR
Massachusetts
(10/3/2022)
RR
Michigan
(10/3/2022)
RR
Minnesota
(10/3/2022)
RR
Mississippi
(10/3/2022)
RR
Missouri
(10/3/2022)
RR
Montana
(10/3/2022)
RR
Nebraska
(10/3/2022)
RR
Nevada
(10/3/2022)
RR
New Hampshire
(10/3/2022)
RR
New Jersey
(10/3/2022)
RR
New Mexico
(10/3/2022)
RR
New York
(10/3/2022)
RR
North Carolina
(10/3/2022)
RR
North Dakota
(10/3/2022)
RR
Ohio
(10/3/2022)
RR
Oklahoma
(10/3/2022)
RR
Oregon
(10/3/2022)
RR
Pennsylvania
(10/3/2022)
RR
Puerto Rico
(10/3/2022)
RR
Rhode Island
(10/3/2022)
RR
South Carolina
(10/3/2022)
RR
South Dakota
(10/3/2022)
RR
Tennessee
(10/3/2022)
RR
Texas
(10/3/2022)
RR
Utah
(10/3/2022)
RR
Vermont
(10/3/2022)
RR
Virgin Islands
(10/3/2022)
RR
Virginia
(10/3/2022)
RR
Washington
(10/3/2022)
RR
West Virginia
(10/3/2022)
RR
Wisconsin
(10/3/2022)
RR
Wyoming
(10/3/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/2/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PARALEL DISTRIBUTORS
PARALEL DISTRIBUTORS | PARALEL DISTRIBUTORS LLC

CRD#: 316115 / SEC#: , 8-70771

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

Main Address
1700 Broadway Suite 1850, Denver, CO 80290
Mailing Address
1700 Broadway Suite 1850, Denver, CO 80290
Phone number
(303) 378-0364
Established
Delaware since 06/21/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PARALEL TECHNOLOGIES, LLCDIRECT OWNER
MAY, JEREMY OPPEGARDCEO/FOUNDER2744563
SWENSON, BRADLEY JOHNPRESIDENT/CCO/FINOP2666663

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

PARALEL DISTRIBUTORS

CRD#: 316115New York, NY 10022

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