Nicholas A. Mckie
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 Andrews Mckie, who also goes by Nic Mckie, Nicholas A Mckie, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2016. Nicholas had worked at 3 firms and has passed the Series 63, SIE 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 26, 2020 - May 21, 2021
COMCAP HOLDINGS LLC
February 27, 2017 - November 15, 2018
J.P. MORGAN SECURITIES LLC
August 22, 2016 - November 3, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
COMCAP HOLDINGS LLC
CRD#: 283514 / SEC#: , 8-69759
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
