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NC

Nancy P. Colindres

CAIS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6311415
NC

Professional summary

Nancy Pierina Colindres, who also goes by Nancy P Colindres, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Nancy is registered as a RR (Registered Representative) and started their career in finance in 2014. Nancy has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy P Colindres

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 Nancy Pierina Colindres's CRS (Customer Relationship Summary).
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 20, 2022 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022
BD
CRD#: 154512
NEW YORK, NY
Past

July 9, 2019 - February 19, 2020

KA ASSOCIATES, LLC

BD
CRD#: 32029
LOS ANGELES, CA
Past

January 12, 2016 - September 5, 2017

NORTHERN TRUST SECURITIES, INC.

RIA
CRD#: 7927
LOS ANGELES, CA
Past

January 12, 2016 - September 5, 2017

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
LOS ANGELES, CA
Past

June 25, 2014 - January 13, 2016

MORGAN STANLEY

RIA
CRD#: 149777
LOS ANGELES, CA
Past

April 23, 2014 - January 13, 2016

MORGAN STANLEY

BD
CRD#: 149777
LOS ANGELES, CA

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 Jersey
(2/14/2025)
RR
New York
(1/20/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/25/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CAIS CAPITAL LLC
CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

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

Main Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Mailing Address
527 Madison Avenue 2nd Floor, New York, NY 10022
Phone number
(212) 300-9350
Established
Delaware since 07/27/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPITAL INTEGRATION SYSTEMS LLCPARENT/OWNER
BROWN, MATTHEW CRAWFORDCEO/MEMBER/EXECUTIVE REP.2160159
COLLINS, MICHAEL PATRICKCCO5366193
KRZAK, ALEXANDER JACOBPOO6349160
PARISE, JANICE DRUFINOP/PFO2338583
PREMSELAAR, MARC KLEINSENIOR MANAGING DIRECTOR5395973
SHANNON, TIMOTHY BRIANPRESIDENT4461906
WALKER, BRADLEY JAYSENIOR MANAGING DIRECTOR5000838

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

CAIS CAPITAL LLC

CRD#: 154512New York, NY 10022

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