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Nicholas C. Bate

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CRD#: 5901865
NB

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 Charles Bate was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2011. Nicholas had worked at 3 firms and has passed the Series 63, SIE, Series 3 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 28, 2015 - June 1, 2016

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
NEW YORK, NY
Past

May 6, 2014 - June 24, 2015

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

April 4, 2011 - April 16, 2014

TFS DERIVATIVES LLC

BD
CRD#: 30395
NEW YORK, NY

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: 4/21/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/12/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/1/2011
General Securities Representative Examination

Current Firm

MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

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

Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
MAREX SERVICES INC.DIRECT OWNER
BATES, CHRISTOPHERFINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR5648556
BERNICKY, JENNIFER KAISERCHIEF OPERATING OFFICER, DIRECTOR4781625
CHERRY, ELIN LYNNECHIEF COMPLIANCE OFFICER2430837
FALCO, CARMINE DOMENICOPRINCIPAL OPERATIONS OFFICER2782798
HOOD, STEPHEN MICHAELDIRECTOR3139127
VITTAL, MAHESH RAMPRES. & CEO, DIRECTOR4593014

Disclosures

Regulatory Event42

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

MAREX CAPITAL MARKETS INC.

CRD#: 161014

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