ND
Nicholas A. Delf
KPG CAPITAL PARTNERS
PARK CITY, UT 84098
Some features on this profile are disabled
CRD#: 5704913
ND
Professional summary
Nicholas Anthony Delf is a registered financial professional currently at KPG CAPITAL PARTNERS, LLC located in Park City, Utah.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2009. Nicholas has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 30 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Anthony Delf's 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®
NoneExperience
Current
June 20, 2013 - Present
KPG CAPITAL PARTNERS, LLC
Office #1: 1389 Center Drive Suite 200, Park City, UT 84098Office #2: 1389 Center Drive Suite 200, Park City, UT 84098BD
CRD#: 165392
PARK CITY, UT
Past
November 4, 2009 - June 18, 2013
APB FINANCIAL GROUP, LLC
BD
CRD#: 38235
PARK CITY, UT
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
Alabama(6/20/2013)
RR
Alaska(6/13/2017)
RR
Arizona(6/20/2013)
RR
Arkansas(6/13/2017)
RR
California(6/20/2013)
RR
Colorado(6/20/2013)
RR
Connecticut(6/20/2013)
RR
Delaware(6/20/2013)
RR
District of Columbia(6/20/2013)
RR
Florida(6/20/2013)
RR
Georgia(6/20/2013)
RR
Hawaii(6/20/2013)
RR
Idaho(6/20/2013)
RR
Illinois(6/20/2013)
RR
Indiana(6/27/2013)
RR
Iowa(6/13/2017)
RR
Kansas(5/6/2017)
RR
Kentucky(6/13/2017)
RR
Louisiana(6/13/2017)
RR
Maine(6/20/2013)
RR
Maryland(6/20/2013)
RR
Massachusetts(6/20/2013)
RR
Michigan(6/20/2013)
RR
Minnesota(6/20/2013)
RR
Mississippi(6/13/2017)
RR
Missouri(6/20/2013)
RR
Montana(6/13/2017)
RR
Nebraska(5/6/2017)
RR
Nevada(6/13/2017)
RR
New Hampshire(5/6/2017)
RR
New Jersey(6/20/2013)
RR
New Mexico(6/20/2013)
RR
New York(6/20/2013)
RR
North Carolina(6/28/2013)
RR
North Dakota(6/13/2017)
RR
Ohio(6/20/2013)
RR
Oklahoma(6/20/2013)
RR
Oregon(6/20/2013)
RR
Pennsylvania(6/20/2013)
RR
Rhode Island(6/20/2013)
RR
South Carolina(6/20/2013)
RR
South Dakota(1/9/2017)
RR
Texas(6/20/2013)
RR
Utah(6/20/2013)
RR
Vermont(6/13/2017)
RR
Virginia(6/20/2013)
RR
Washington(6/20/2013)
RR
West Virginia(6/20/2013)
RR
Wisconsin(6/20/2013)
RR
Wyoming(1/9/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KC
KPG CAPITAL PARTNERS, LLC
KPG CAPITAL PARTNERS, LLC
CRD#: 165392 / SEC#: , 8-69158
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1389 Center Drive Suite 200, Park City, UT 84098
Mailing Address
1389 Center Drive Suite 200, Park City, UT 84098
Phone number
(212) 588-8889
Established
Delaware since 12/11/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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Company Information
KPG CAPITAL PARTNERS, LLC
CRD#: 165392Park City, UT 84098TRUST BUT VERIFY
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