Nicholas A. Nolan
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 Aaron Nolan, who also goes by Nicholas A Nolan, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2007. Nicholas had worked at 6 firms and has passed the Series 66, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2025 - November 14, 2025
LIFESCI CAPITAL
April 2, 2012 - September 27, 2024
BTIG, LLC
September 24, 2010 - February 21, 2012
COINBASE SECURITIES, INC.
October 7, 2008 - March 23, 2010
CREDIT SUISSE SECURITIES (USA) LLC
October 6, 2008 - March 23, 2010
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2008 - October 8, 2008
BARCLAYS CAPITAL INC.
January 18, 2008 - October 7, 2008
LEHMAN BROTHERS INC.
October 3, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
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
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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