Dave Nicolas
Professional summary
Dave Nicolas was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dave is a previously registered financial professional and started their career in finance in 2008. Prior to being barred, Dave had worked at 3 firms, which includes SAN BLAS SECURITIES LLC, MD GLOBAL PARTNERS LLC, GARDEN STATE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2020 - December 31, 2020
SAN BLAS SECURITIES LLC
June 26, 2019 - July 20, 2020
MD GLOBAL PARTNERS, LLC
December 19, 2008 - March 6, 2019
GARDEN STATE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SAN BLAS SECURITIES LLC
CRD#: 290605 / SEC#: , 8-70036
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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