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NW

Nicholas A. White

WESTMORELAND CAPITAL
Buffalo, NY 14202
Some features on this profile are disabled
CRD#: 6286524
NW

Professional summary

Nicholas Anthony White is a registered financial professional currently at WESTMORELAND CAPITAL CORPORATION located in Buffalo, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2014. Nicholas has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 22 exams.

top-8-questions

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 Nicholas Anthony White'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

January 31, 2014 - Present

WESTMORELAND CAPITAL CORPORATION

Office #1: 591 Delaware Avenue, Buffalo, NY 14202Office #2: 601 E. Exchange Avenue Suite 100, Fort Worth, TX 76164
BD
CRD#: 11469
Buffalo, NY

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
New York
(4/10/2014)
RR
Texas
(8/14/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2014
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: 2/22/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 1/31/2014
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WESTMORELAND CAPITAL CORPORATION
WESTMORELAND CAPITAL CORPORATION

CRD#: 11469 / SEC#: , 8-24116

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
601 E. Exchange Avenue Suite 100, Fort Worth, TX 76164
Mailing Address
1521 N. Cooper Street Suite 400, Arlington, TX 76011
Phone number
(682) 305-2868
Established
New York since 08/03/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
J.M. JAYSON & COMPANY, INC.OWNER
BEATON, DANIEL STEWARTFINOP4240769
IAK, MATTHEW PARKERCCO/PRESIDENT4171508

Disclosures

Regulatory Event3
Arbitration2

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

WESTMORELAND CAPITAL CORPORATION

CRD#: 11469Buffalo, NY 14202

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