NW
Nicholas Whiteley
COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
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CRD#: 6167536
NW
Professional summary
Nicholas Whiteley is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2013. Nicholas has worked at 3 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 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 Whiteley'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
March 9, 2026 - Present
COHEN & COMPANY SECURITIES, LLC
Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431BD
CRD#: 149758
BOCA RATON, FL
Past
April 6, 2021 - October 8, 2025
INSPEREX LLC
BD
CRD#: 101420
Delray Beach, FL
Past
September 27, 2018 - April 7, 2021
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
March 7, 2013 - September 13, 2018
INSPEREX LLC
BD
CRD#: 101420
BOCA RATON, FL
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(3/9/2026)
RR
Alaska(3/9/2026)
RR
Arizona(3/9/2026)
RR
Arkansas(3/9/2026)
RR
California(3/9/2026)
RR
Colorado(3/9/2026)
RR
Connecticut(3/9/2026)
RR
Delaware(3/9/2026)
RR
District of Columbia(3/9/2026)
RR
Florida(3/9/2026)
RR
Georgia(3/9/2026)
RR
Hawaii(3/9/2026)
RR
Idaho(3/9/2026)
RR
Illinois(3/9/2026)
RR
Indiana(3/9/2026)
RR
Iowa(3/9/2026)
RR
Kansas(3/9/2026)
RR
Kentucky(3/9/2026)
RR
Louisiana(3/9/2026)
RR
Maine(3/9/2026)
RR
Maryland(3/9/2026)
RR
Massachusetts(3/9/2026)
RR
Michigan(3/9/2026)
RR
Minnesota(3/9/2026)
RR
Mississippi(3/9/2026)
RR
Missouri(3/9/2026)
RR
Montana(3/9/2026)
RR
Nebraska(3/9/2026)
RR
Nevada(3/9/2026)
RR
New Hampshire(3/9/2026)
RR
New Jersey(3/9/2026)
RR
New Mexico(3/9/2026)
RR
New York(3/9/2026)
RR
North Carolina(3/9/2026)
RR
North Dakota(3/9/2026)
RR
Ohio(3/9/2026)
RR
Oklahoma(3/9/2026)
RR
Oregon(3/9/2026)
RR
Pennsylvania(3/9/2026)
RR
Puerto Rico(3/9/2026)
RR
Rhode Island(3/9/2026)
RR
South Carolina(3/9/2026)
RR
South Dakota(3/9/2026)
RR
Tennessee(3/9/2026)
RR
Texas(3/9/2026)
RR
Utah(3/9/2026)
RR
Vermont(3/9/2026)
RR
Virgin Islands(3/9/2026)
RR
Virginia(3/9/2026)
RR
Washington(3/9/2026)
RR
West Virginia(3/9/2026)
RR
Wisconsin(3/9/2026)
RR
Wyoming(3/9/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/29/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC
CRD#: 149758 / SEC#: , 8-68186
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
