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ND

Nicholas L. Depilla

B. RILEY SECURITIES
Arlington, VA 22209
Some features on this profile are disabled
CRD#: 5456364
ND

Professional summary

Nicholas Louis Depilla, who also goes by Nicholas L Depilla, Nicholas Depilla, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Arlington, Virginia.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 8 firms and has passed the Series 63, Series 99TO, Series 34, Series 3, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas L Depilla | Nicholas Depilla

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 Louis Depilla'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

January 26, 2026 - Present

B. RILEY SECURITIES, INC.

Office #1: 1655 Fort Myer Drive Suite 1200, Arlington, VA 22209
BD
CRD#: 25027
Arlington, VA
Past

January 2, 2024 - January 8, 2026

BLUE OCEAN ATS

BD
CRD#: 306512
WEST PALM BEACH, FL
Past

July 14, 2021 - December 19, 2023

CODA MARKETS, INC.

BD
CRD#: 36187
WILMETTE, IL
Past

June 26, 2018 - April 20, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

March 29, 2016 - June 5, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Chicago, IL
Past

December 12, 2011 - June 15, 2015

REGAL SECURITIES, INC.

BD
CRD#: 7297
GLENVIEW, IL
Past

March 31, 2010 - December 16, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SKOKIE, IL
Past

January 15, 2008 - April 9, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

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
RR
Series 63
Date: 1/22/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 34
Date: 6/11/2019
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/6/2018
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCHAIRMAN4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

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

B. RILEY SECURITIES, INC.

CRD#: 25027Arlington, VA 22209

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