Nicholas Sinclair
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Sinclair, who also goes by Nicholais Sinclair, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2008. Nicholas had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2011 - August 20, 2013
GLOBAL EMERGING CAPITAL GROUP, LLC
February 26, 2010 - April 13, 2011
FIRST MERGER CAPITAL, INC
November 2, 2009 - December 23, 2009
JOHN THOMAS FINANCIAL
February 6, 2009 - November 3, 2009
SPARTAN CAPITAL SECURITIES, LLC
August 19, 2008 - September 2, 2008
EMPIRE ASSET MANAGEMENT COMPANY
January 4, 2008 - August 11, 2008
BASIC INVESTORS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GLOBAL EMERGING CAPITAL GROUP, LLC
CRD#: 130120 / SEC#: , 8-66308
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BURGESS-GAY, CLAUDETTE YVONNE | CEO, CCO, CFO, FINOP | 2547910 |
Disclosures
| Regulatory Event | 7 |
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.
