Nicholas Je Knapp
Professional Summary
Nicholas Je Knapp is a registered financial advisor currently at CRC-IB located in New York, New York. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2013. Nicholas has worked at 1 firm and has passed the Series 63, SIE, Series 82, Series 79 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
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
CARBON REDUCTION CAPITAL, LLC | REZNICK CAPITAL MARKETS SECURITIES, LLC | CRC-IB | COHNREZNICK CAPITAL MARKETS SECURITIES, LLC | COHNREZNICK CAPITAL
Contact Information
Main Address
220 E42nd Street 35th Floor, New York, NY 10017Mailing Address
220 E42nd Street 35th Floor, New York, NY 10017Phone Number
(917) 472-1274Established
Maryland since 01/14/2011Firm Type
Limited Liability CompanyFiscal Year End
JanuaryFirm Size
SmallFINRA licenses (40 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | SHAREHOLDER | — |
| DURDEN, GARY LEE | MANAGING DIRECTOR | 6624221 |
| DURDEN, GARY LEE | CHIEF COMPLIANCE OFFICER | 6624221 |
| HOPKINS, THOMAS JOHN | FINOP, PPO, PFO | 1835087 |
| KNAPP, NICHOLAS JE | PRESIDENT | 5419499 |
| MCKENNA, CONOR WILLIAM | SENIOR MANAGING DIRECTOR | 4355571 |
| VON OESEN, BRITTA BENNETT | MANAGING DIRECTOR | 5532329 |
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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.
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State Registrations and Notice Filings
(3/1/2021)
(3/2/2022)
(8/19/2014)
(3/1/2021)
(8/7/2014)
(3/1/2021)
(5/19/2021)
(3/1/2021)
(3/1/2021)
(2/11/2026)
(1/27/2022)
(3/1/2021)
(3/1/2021)
(12/22/2021)
(1/18/2022)
(1/18/2022)
(4/6/2021)
(3/1/2021)
(5/10/2022)
(1/18/2022)
(3/31/2022)
(11/30/2021)
(1/19/2022)
(3/25/2022)
(4/12/2021)
(5/5/2021)
(2/7/2022)
(8/19/2014)
(2/18/2022)
(3/13/2026)
(1/18/2022)
(12/10/2025)
(3/1/2021)
(12/15/2025)
(4/13/2026)
(3/1/2021)
(11/18/2021)
(3/11/2020)
(1/18/2022)
(7/7/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Nov 2013About the Series 82 examSeries 79 — Investment Banking Registered Representative Examination
Passed Aug 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas Je Knapp's CRS (Customer Relationship Summary).
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