Nicholas D. Girard
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 Derek Girard, who also goes by Nicholas D Girard, Nicholas Derek Girard, Nicholas Girard, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2009. Nicholas had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2018 - February 4, 2019
TULLETT PREBON FINANCIAL SERVICES LLC
January 4, 2017 - October 15, 2018
EXECUTION ACCESS, LLC
November 13, 2014 - January 9, 2017
GRANT WILLIAMS L.P.
July 1, 2013 - September 2, 2014
EXECUTION ACCESS, LLC
July 26, 2010 - July 11, 2013
BGC FINANCIAL, L.P.
September 29, 2009 - March 25, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
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.
