Nicholas L. Davis
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 Lee Davis, who also goes by Nick Lee Davis, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2011. Nicholas had worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2024 - December 4, 2024
INVESCO DISTRIBUTORS, INC.
July 31, 2024 - December 4, 2024
INVESCO ADVISERS, INC.
June 8, 2022 - April 26, 2024
SOUTHWESTERN ADVISORY GROUP LLC
February 26, 2020 - August 20, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 27, 2020 - August 20, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 2, 2014 - August 22, 2016
FORESIDE FUND SERVICES, LLC
September 22, 2011 - June 5, 2014
INVESCO ADVISERS, INC.
July 8, 2011 - June 5, 2014
INVESCO DISTRIBUTORS, 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
Series 7TO
Date: 8/19/2024
General Securities Representative ExaminationCurrent Firm
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
