Nicholas Grounds
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 Grounds, who also goes by Nicholas G Grounds, Nicholas G. Grounds, Nick Grounds, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2012. Nicholas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2020 - October 13, 2022
WEILD & CO.
January 27, 2016 - July 23, 2018
SECURIAN FINANCIAL SERVICES, INC.
November 11, 2015 - July 23, 2018
SECURIAN FINANCIAL SERVICES, INC.
September 17, 2014 - November 4, 2015
PRUCO SECURITIES, LLC.
September 20, 2012 - November 4, 2015
PRUCO SECURITIES, LLC.
January 20, 2012 - July 20, 2012
PLANMEMBER SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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