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MN

Miguel A. Nieves

HAMILTON LANE SECURITIES
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 5924406
MN

Professional summary

Miguel Angel Nieves Jr, who also goes by Miguel Angel Nieves, Mike Nieves, is a registered financial professional currently at HAMILTON LANE SECURITIES LLC located in Conshohocken, Pennsylvania.

Miguel is registered as a RR (Registered Representative) and started their career in finance in 2017. Miguel has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Miguel Angel Nieves | Mike Nieves

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 Miguel Angel Nieves Jr'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®
None

Experience

Current

May 23, 2024 - Present

HAMILTON LANE SECURITIES LLC

Office #1: 110 Washington Street Suite 1300, Conshohocken, PA 19428
BD
CRD#: 281510
Conshohocken, PA
Past

March 30, 2017 - March 28, 2024

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL

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
Illinois
(5/23/2024)
RR
Indiana
(5/23/2024)
RR
Iowa
(5/23/2024)
RR
Kansas
(5/23/2024)
RR
Michigan
(5/23/2024)
RR
Minnesota
(5/23/2024)
RR
Missouri
(5/23/2024)
RR
Nebraska
(5/23/2024)
RR
North Dakota
(5/23/2024)
RR
Ohio
(5/25/2024)
RR
South Dakota
(5/23/2024)
RR
Wisconsin
(5/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/14/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HL
HAMILTON LANE SECURITIES LLC
HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Loading...

Contact information

Main Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Mailing Address
110 Washington Street Suite 1300, Conshohocken, PA 19428
Phone number
(610) 934-2222
Established
Delaware since 08/17/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HAMILTON LANEMEMBER107876
BRENNAN, STEPHEN RICHARD JRCHIEF EXECUTIVE OFFICER2488932
ROMERO, MONIQUE VICTORIAFINOP6712654
SHIN, ROBERTCHIEF COMPLIANCE OFFICER2683514

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

HAMILTON LANE SECURITIES LLC

CRD#: 281510Conshohocken, PA 19428

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