Nicholas C. Baron
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 Cole Baron, who also goes by Nicholas C Baron, Nicholas Cole Baron, Nick Baron, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2013. Nicholas had worked at 3 firms and has passed the Series 66, Series 63, Series 65, Series 99TO, 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
October 20, 2022 - June 26, 2023
BRAINVEST WEALTH MANAGEMENT LLC
August 26, 2016 - May 11, 2022
J.P. MORGAN SECURITIES LLC
November 7, 2013 - April 29, 2014
VOYA FINANCIAL ADVISORS, INC.
August 19, 2013 - April 29, 2014
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
BRAINVEST WEALTH MANAGEMENT LLC
CRD#: 289743 / SEC#: 801-114988
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BRAINVEST WEALTH MANAGEMENT LLC
CRD#: 289743 / SEC#: 801-114988
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 97 |
| AUM (Assets Under Management) | $ 553,800,718 |
Red Flags
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