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NW

Nikolaus J. Wottge

INCENTRUM SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5439776
NW

Professional summary

Nikolaus Josef Konrad Wottge, who also goes by Nikolaus Josef Wottge, is a registered financial professional currently at INCENTRUM SECURITIES, LLC located in New York, New York.

Nikolaus is registered as a RR (Registered Representative) and started their career in finance in 2009. Nikolaus has worked at 3 firms and has passed the Series 65, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nikolaus Josef Wottge

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 Nikolaus Josef Konrad Wottge'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

April 26, 2023 - Present

INCENTRUM SECURITIES, LLC

Office #1: 410 Park Avenue, New York, NY 10022
BD
CRD#: 288831
New York, NY
Past

January 1, 2021 - March 7, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 12, 2009 - May 21, 2010

KAMAKURA CAPITAL, LLC

RIA
CRD#: 145278
THORNTON, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/15/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/28/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INCENTRUM SECURITIES, LLC
INCENTRUM SECURITIES, LLC

CRD#: 288831 / SEC#: , 8-69961

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

Main Address
410 Park Avenue, New York, NY 10022
Mailing Address
410 Park Avenue, New York, NY 10022
Phone number
(212) 772-1900
Established
Delaware since 02/16/2017
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE INCENTRUM GROUP (CI), L.P.MEMBER
ANDERSSON, LARS OLAEXEC REP, SENIOR MGMT REP2388267
HOPKINS, THOMAS JOHNCFO/FINOP1835087
KRAHE, NILS HENNERCCO4190245

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.

Company Information

INCENTRUM SECURITIES, LLC

CRD#: 288831New York, NY 10022

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