Christopher Paul Nicholas
Professional Summary
Christopher Paul Nicholas is a registered financial advisor currently at SHIELDS & COMPANY, INC. located in Waltham, Massachusetts. Christopher is registered as a RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SHIELDS & COMPANY, INC. | THOMAS J. SHIELDS & COMPANY, INC. | SHIELDS SECURITIES, INC.
Contact Information
Main Address
800 South Street Suite 310, Waltham, MA 02453Mailing Address
800 South Street Suite 310, Waltham, MA 02453Phone Number
(781) 890-7033Established
Massachusetts since 04/19/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/1/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Christopher Paul Nicholas's CRS (Customer Relationship Summary).
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