Nicholas M. Torres
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 Matthew Torres, who also goes by Nick Torres, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2014. Nicholas had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2018 - June 6, 2019
TD AMERITRADE, INC.
September 28, 2018 - June 6, 2019
TD AMERITRADE, INC.
September 28, 2018 - June 6, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 9, 2017 - August 11, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 14, 2016 - August 11, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 30, 2014 - October 27, 2014
ESSEX NATIONAL SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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