Nicholas C. Oates

FIRST AVENUE

New York, NY 10017

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CRD#: 5417083

Professional summary

Nicholas C Oates is a registered financial professional currently at FIRST AVENUE located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2009. Nicholas has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas C Oates's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 26, 2022 - Present

FIRST AVENUE

Office #1: 461 Fifth Avenue 14th Floor, New York, NY 10017

CRD#: 145860

New York, NY

Past

April 13, 2016 - July 12, 2022

ICAPITAL SECURITIES, LLC

CRD#: 171061

NEW YORK, NY

Past

June 10, 2009 - April 19, 2016

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(11/7/2022)

Alaska
(11/7/2022)

Arizona
(11/7/2022)

California
(7/26/2022)

Colorado
(8/3/2022)

Connecticut
(8/3/2022)

Florida
(7/26/2022)

Georgia
(8/3/2022)

Hawaii
(1/2/2024)

Idaho
(1/2/2024)

Illinois
(7/26/2022)

Indiana
(11/7/2022)

Kansas
(8/3/2022)

Louisiana
(8/3/2022)

Maine
(1/2/2024)

Maryland
(8/3/2022)

Massachusetts
(7/26/2022)

Michigan
(8/3/2022)

Minnesota
(8/3/2022)

Mississippi
(1/2/2024)

Missouri
(8/3/2022)

Montana
(1/2/2024)

Nebraska
(1/2/2024)

Nevada
(11/7/2022)

New Hampshire
(8/3/2022)

New Jersey
(8/3/2022)

New Mexico
(11/7/2022)

New York
(7/26/2022)

North Carolina
(8/3/2022)

Ohio
(11/7/2022)

Oklahoma
(8/3/2022)

Oregon
(8/3/2022)

Pennsylvania
(8/3/2022)

Tennessee
(8/3/2022)

Texas
(7/26/2022)

Utah
(8/3/2022)

Virginia
(8/3/2022)

Washington
(8/3/2022)

Wyoming
(1/2/2025)

Exams

State Security Law Exam

Series 63

Date: 4/5/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST AVENUE

FAP USA, L.P. | FIRST AVENUE

CRD#: 145860 / SEC#: , 8-67758

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

461 Fifth Avenue 14th Floor, New York, NY 10017

Mailing Address

461 Fifth Avenue 14th Floor, New York, NY 10017

Phone number

(646) 582-5777

Established

Delaware since 02/14/2007

Firm type

Partnership

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FAP USA, L.L.C.	LIMITED PARTNER
BUCKLEY, PAUL DEREK	PARTNER, CEO	1822709
FAP GEN PAR, L.L.C.	GP
PLANT, LYDIA HYUNJU	FINOP, CFO AND COO	7390471
RYAN, KIMBERLY ANN	CHIEF COMPLIANCE OFFICER	4316310

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Nicholas C. Oates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas C Oates's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST AVENUE

ICAPITAL SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/9/2009

FINRA

Current Firm

FIRST AVENUE

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FIRST AVENUE

TRUST BUT VERIFY

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