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Nick X. Sheng

SPARRING PARTNERS CAPITAL LLC
Short Hills, NJ
Some features on this profile are disabled
CRD#: 5566134
NS

Professional summary

Nick Xing Sheng is a registered financial professional currently at SPARRING PARTNERS CAPITAL LLC located in Short Hills, New Jersey.

Nick is registered as a RR (Registered Representative) and started their career in finance in 2008. Nick has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Nick Xing Sheng'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

September 30, 2008 - Present

SPARRING PARTNERS CAPITAL LLC

BD
CRD#: 133780
Short Hills, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/18/2014)
RR
Connecticut
(7/6/2017)
RR
District of Columbia
(7/6/2017)
RR
Massachusetts
(8/18/2014)
RR
New Jersey
(8/18/2014)
RR
New York
(10/28/2008)
RR
Ohio
(8/19/2014)
RR
Pennsylvania
(7/6/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SP
SPARRING PARTNERS CAPITAL LLC
SPARRING PARTNERS CAPITAL LLC

CRD#: 133780 / SEC#: , 8-66777

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

Main Address
20 Fairfield Drive, Short Hills, NJ 07078
Mailing Address
Po Box 395, Short Hills, NJ 07078
Phone number
(212) 490-6525
Established
New Jersey since 09/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 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#
SPAR, WARREN HALCEO, CHIEF COMPLIANCE OFFICER
CHOI, DAVIDPRINCIPAL2277222
MACK, ALEXANDER HERBERTFINOP, CFO4805607
SPAR, STEPHANIE WALDMANMEMBER831632

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

SPARRING PARTNERS CAPITAL LLC

CRD#: 133780Short Hills, NJ

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