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Nicholas Mennis

D. BORAL CAPITAL
Woodbury, NY 11797
Some features on this profile are disabled
CRD#: 6532349
NM

Professional summary

Nicholas Mennis is a registered financial professional currently at D. BORAL CAPITAL located in Woodbury, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 3 firms and has passed the Series 63, SIE and Series 7 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 Nicholas Mennis'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

June 30, 2025 - Present

D. BORAL CAPITAL

Office #1: 60 Crossways Park Dr. W Suite 305, Woodbury, NY 11797
BD
CRD#: 103792
Woodbury, NY
Past

December 18, 2019 - February 29, 2024

AEGIS CAPITAL CORP.

BD
CRD#: 15007
MELVILLE, NY
Past

February 23, 2017 - December 26, 2019

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
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
Arizona
(6/30/2025)
RR
Arkansas
(6/30/2025)
RR
California
(6/30/2025)
RR
Colorado
(6/30/2025)
RR
Connecticut
(6/30/2025)
RR
Florida
(6/30/2025)
RR
Georgia
(6/30/2025)
RR
Hawaii
(6/30/2025)
RR
Illinois
(6/30/2025)
RR
Indiana
(6/30/2025)
RR
Iowa
(6/30/2025)
RR
Kansas
(6/30/2025)
RR
Louisiana
(6/30/2025)
RR
Michigan
(6/30/2025)
RR
Minnesota
(6/30/2025)
RR
Missouri
(6/30/2025)
RR
Nebraska
(6/30/2025)
RR
New Jersey
(6/30/2025)
RR
New York
(6/30/2025)
RR
Oklahoma
(6/30/2025)
RR
Pennsylvania
(6/30/2025)
RR
Texas
(6/30/2025)
RR
Virginia
(6/30/2025)
RR
Wisconsin
(6/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/23/2017
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 7
Date: 2/23/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DB
D. BORAL CAPITAL
BENCHMARK INVESTMENTS, INC. | EF HUTTON LLC | D. BORAL CAPITAL LLC | D. BORAL CAPITAL | BENCHMARK INVESTMENTS, LLC

CRD#: 103792 / SEC#: , 8-52280

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

Main Address
590 Madison Ave 39th Floor, New York, NY 10022
Mailing Address
590 Madison Ave 39th Floor, New York, NY 10022
Phone number
(212) 570-5150
Established
Nevada since 05/28/2021
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#
DBCH PARTNERS LLCSHAREHOLDER
AGRAWAL, SHARADCHIEF TECHNOLOGY OFFICER5115964
BORAL, DAVID WALTERCHIEF EXECUTIVE OFFICER5340753
MERLIN, JAREDCHIEF COMPLIANCE OFFICER4222427
WHALEN, RYAN JAMESGENERAL COUNSEL7457347
WIEDERLIGHT, PHILIPCHIEF OPERATING OFFICER5856024
WILDER, BRADLEY STEPHENFINOP7497819

Disclosures

Regulatory Event2

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

D. BORAL CAPITAL

CRD#: 103792Woodbury, NY 11797

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