NM
Nicholas F. Mormando
BLACKSTONE SECURITIES PARTNERS L.P.
Overland Park, KS 66210
Some features on this profile are disabled
CRD#: 5401547
NM
Professional summary
Nicholas Frank Mormando, who also goes by Nicholas F. Mormando, is a registered financial professional currently at BLACKSTONE SECURITIES PARTNERS L.P. located in Overland Park, Kansas.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas F. Mormando
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Frank Mormando'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®
NoneExperience
Current
June 22, 2018 - Present
BLACKSTONE SECURITIES PARTNERS L.P.
Office #1: 7500 College Blvd, Overland Park, KS 66210BD
CRD#: 17917
Overland Park, KS
Past
September 14, 2010 - April 9, 2018
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, CT
Past
September 3, 2007 - June 7, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MELVILLE, NY
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(6/22/2018)
RR
Alaska(6/22/2018)
RR
Arizona(6/22/2018)
RR
Arkansas(6/22/2018)
RR
California(6/22/2018)
RR
Colorado(6/22/2018)
RR
Connecticut(6/22/2018)
RR
Delaware(6/22/2018)
RR
District of Columbia(6/22/2018)
RR
Florida(6/22/2018)
RR
Georgia(6/22/2018)
RR
Hawaii(6/22/2018)
RR
Idaho(6/22/2018)
RR
Illinois(6/22/2018)
RR
Indiana(6/22/2018)
RR
Iowa(6/22/2018)
RR
Kansas(6/22/2018)
RR
Kentucky(6/22/2018)
RR
Louisiana(6/22/2018)
RR
Maine(6/22/2018)
RR
Maryland(6/22/2018)
RR
Massachusetts(6/22/2018)
RR
Michigan(6/22/2018)
RR
Minnesota(6/22/2018)
RR
Mississippi(6/22/2018)
RR
Missouri(6/22/2018)
RR
Montana(6/22/2018)
RR
Nebraska(6/22/2018)
RR
Nevada(6/22/2018)
RR
New Hampshire(6/22/2018)
RR
New Jersey(6/22/2018)
RR
New Mexico(6/22/2018)
RR
New York(6/22/2018)
RR
North Carolina(6/23/2018)
RR
North Dakota(6/22/2018)
RR
Ohio(6/22/2018)
RR
Oklahoma(6/22/2018)
RR
Oregon(6/22/2018)
RR
Pennsylvania(6/22/2018)
RR
Puerto Rico(6/22/2018)
RR
Rhode Island(6/22/2018)
RR
South Carolina(6/22/2018)
RR
South Dakota(6/22/2018)
RR
Tennessee(6/22/2018)
RR
Texas(6/22/2018)
RR
Utah(6/22/2018)
RR
Vermont(6/22/2018)
RR
Virgin Islands(6/22/2018)
RR
Virginia(6/22/2018)
RR
Washington(6/22/2018)
RR
West Virginia(6/22/2018)
RR
Wisconsin(6/22/2018)
RR
Wyoming(6/22/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BLACKSTONE SECURITIES PARTNERS L.P.
BLACKSTONE ADVISORY PARTNERS L.P. | THE BLACKSTONE GROUP L.P. | THE BLACKSTONE GROUP | BLACKSTONE SECURITIES PARTNERS L.P. | BLACKSTONE CAPITAL MARKETS | BLACKSTONE ADVISORY SERVICES L.P.
CRD#: 17917 / SEC#: , 8-35941
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
345 Park Avenue, New York, NY 10154-0191
Mailing Address
601 Lexington Avenue 28th Floor, New York, NY 10022
Phone number
(212) 583-5000
Established
Delaware since 09/27/1988
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKSTONE GROUP HOLDINGS L.P. | LIMITED PARTNER | |
| BALLAS, ZACHARY | DESIGNATED PRINCIPAL | 6563232 |
| BLACKSTONE ADVISORY SERVICES L.L.C. | GENERAL PARTNER | |
| DEROSE, ANTHONY | CHIEF COMPLIANCE OFFICER | 5553578 |
| PAYNE, DAVID BRYAN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINOP | 4984877 |
| SCHWARZMAN, STEPHEN ALLEN | CHAIRMAN & CEO | 861435 |
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.
