NS
Nicolas S. Schaufele
VERITAS CAPITAL SECURITIES L.L.C.
New York, NY 10019
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CRD#: 6757455
NS
Professional summary
Nicolas Simon Schaufele, who also goes by Nicolas Schaufele, is a registered financial professional currently at VERITAS CAPITAL SECURITIES L.L.C. located in New York, New York.
Nicolas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicolas has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicolas Schaufele
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicolas Simon Schaufele's 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®
NoneExperience
Current
September 12, 2023 - Present
VERITAS CAPITAL SECURITIES L.L.C.
Office #1: 9 West 57th St Floor 31st, New York, NY 10019BD
CRD#: 323755
New York, NY
Past
October 10, 2018 - September 6, 2022
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
April 10, 2017 - March 21, 2018
UBS SECURITIES LLC
BD
CRD#: 7654
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
Alabama(11/13/2023)
RR
Alaska(9/19/2023)
RR
Arizona(10/17/2023)
RR
Arkansas(10/9/2023)
RR
California(9/20/2023)
RR
Colorado(10/11/2023)
RR
Connecticut(9/21/2023)
RR
Delaware(9/26/2023)
RR
District of Columbia(10/23/2023)
RR
Georgia(9/19/2023)
RR
Hawaii(11/22/2023)
RR
Idaho(9/18/2023)
RR
Illinois(11/8/2023)
RR
Iowa(9/20/2023)
RR
Kansas(10/11/2023)
RR
Kentucky(9/26/2023)
RR
Louisiana(9/25/2023)
RR
Maine(9/25/2023)
RR
Maryland(10/5/2023)
RR
Massachusetts(5/24/2024)
RR
Michigan(9/18/2023)
RR
Minnesota(1/31/2024)
RR
Mississippi(9/19/2023)
RR
Missouri(2/5/2024)
RR
Montana(10/10/2023)
RR
Nebraska(11/17/2023)
RR
Nevada(9/19/2023)
RR
New Hampshire(10/11/2023)
RR
New Jersey(11/16/2023)
RR
New Mexico(10/3/2023)
RR
New York(9/18/2023)
RR
North Carolina(9/25/2023)
RR
North Dakota(9/19/2023)
RR
Ohio(9/18/2023)
RR
Oklahoma(9/20/2023)
RR
Oregon(9/28/2023)
RR
Pennsylvania(9/20/2023)
RR
Puerto Rico(10/19/2023)
RR
Rhode Island(9/19/2023)
RR
South Carolina(9/19/2023)
RR
South Dakota(9/20/2023)
RR
Tennessee(1/21/2026)
RR
Texas(10/5/2023)
RR
Utah(9/15/2023)
RR
Vermont(9/27/2023)
RR
Virgin Islands(12/22/2023)
RR
Virginia(9/19/2023)
RR
Washington(9/18/2023)
RR
West Virginia(10/13/2023)
RR
Wisconsin(9/21/2023)
RR
Wyoming(9/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VC
VERITAS CAPITAL SECURITIES L.L.C.
VERITAS CAPITAL SECURITIES L.L.C. | VERITAS CAPITAL SECURITIES, LLC | VERITAS CAPITAL SECURITIES, L.L.C
CRD#: 323755 / SEC#: , 8-71002
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
9 West 57th St, Floor 31st, New York, NY 10019
Mailing Address
9 West 57th St, Floor 32 Nd, New York, NY 10019
Phone number
(212) 415-6700
Established
Delaware since 09/20/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
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.
