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NK

Nikhil Krishnaswamy

BLOOMBERG TRADEBOOK
New York, NY 10022
Some features on this profile are disabled
CRD#: 6150241
NK

Professional summary

Nikhil Krishnaswamy is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York and BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York.

Nikhil is registered as a RR (Registered Representative) and started their career in finance in 2013. Nikhil has worked at 2 firms and has passed the SIE and Series 99 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nikhil Krishnaswamy'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

September 8, 2020 - Present

BLOOMBERG TRADEBOOK LLC

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 40881
New York, NY
Current

June 4, 2021 - Present

BLOOMBERG TRADEBOOK CANADA COMPANY

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 313267
New York, NY
Past

May 6, 2013 - September 29, 2017

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
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

General Industry/Product Exam
RR
SIE
Date: 9/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/4/2013
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BLOOMBERG TRADEBOOK CANADA COMPANY
BLOOMBERG TRADEBOOK CANADA COMPANY

CRD#: 313267 / SEC#: , 8-70683

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Mailing Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1
Phone number
(212) 617-4865
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG CANADA LLCSOLE SHAREHOLDER
BENDER, GREGORYDIRECTOR5601000
KAPLAN, PAUL WILLIAMPRESIDENT, DIRECTOR4092439
MILHAM, CHRISTOPHER MICHAELFINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO3092157
ROTELA, DOUGLAS MARTINCHIEF COMPLIANCE OFFICER5127496
SANTORE, RICHARD RAYMOND IIIDIRECTOR4978129

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

BLOOMBERG TRADEBOOK CANADA COMPANY

CRD#: 313267New York, NY 10022

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