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NT

Nenad Tomic

N.A. INVESTCORP LLC
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 6526066
NT

Professional summary

Nenad Tomic is a registered financial professional currently at N.A. INVESTCORP LLC located in Santa Monica, California.

Nenad is registered as a RR (Registered Representative) and started their career in finance in 2016. Nenad has worked at 2 firms and has passed the Series 63, SIE and Series 79 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 Nenad Tomic'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

November 3, 2017 - Present

N.A. INVESTCORP LLC

Office #1: 100 Wilshire Blvd. Suite 700, Santa Monica, CA 90401
BD
CRD#: 134162
Santa Monica, CA
Past

September 1, 2016 - September 27, 2017

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, 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
(11/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2016
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 79
Date: 9/1/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NI
N.A. INVESTCORP LLC
N.A. INVESTCORP LLC

CRD#: 134162 / SEC#: , 8-66812

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

Main Address
280 Park Avenue 39th Floor, New York, NY, 10017
Mailing Address
280 Park Avenue 39th Floor, New York, NY, 10017
Phone number
(212) 599-4700
Established
Delaware since 11/23/2004
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (7 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#
INVESTCORP INTERNATIONAL HOLDINGS, INC.SHAREHOLDER
GOLDCHAIN, SCOTT DAVIDPRESIDENT AND CHIEF EXECUTIVE OFFICER3276936
MURPHY, BRIAN JOSEPHSECRETARY1720020
QASIMI, SAMICHIEF COMPLIANCE OFFICER5640450
SHEA, PATRICK OFARRELLHEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL838154

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

N.A. INVESTCORP LLC

CRD#: 134162Santa Monica, CA 90401

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