Nicholas A. Candy
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 Adrian Candy, who also goes by Nicholas Candy, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2015. Nicholas had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2015 - September 25, 2017
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
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
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
CRD#: 46902 / SEC#: , 8-51582
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILICON VALLEY BANK | PARENT | |
| CASEY, BRENDAN WALL | DIRECTOR | 2794197 |
| CHEONG, AMY LAI MUI | CHIEF FINANCIAL OFFICER | 4654230 |
| HACKENBURG, KARA NICOLE | CHIEF COMPLIANCE OFFICER | 2675466 |
| HALL, DARCEY NOEL | ANTI-MONEY LAUNDERING OFFICER | 2599719 |
| HUSAIN, KAMRAN FOUAD | DIRECTOR | 5947865 |
| MATTERA, RICHARD JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2246513 |
| MOSS, LAURI LYNN | PRESIDENT, CEO, AND DIRECTOR | 1377807 |
| PIRACHA, AMENA | SECRETARY | |
| SABOW, DAVID MICHAEL | DIRECTOR | 5138501 |
| SCHNITZ, JEFFREY NAYLOR | DIRECTOR | 2659365 |
Red Flags
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