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Nicholas L. Steele

XR SECURITIES LLC
Chicago, IL 60661-5704
Some features on this profile are disabled
CRD#: 6770013
NS

Professional summary

Nicholas Laurence Steele is a registered financial professional currently at XR SECURITIES LLC located in Chicago, Illinois.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 1 firm and has passed the SIE and Series 57 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 Laurence Steele'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®
None

Experience

Current

April 10, 2017 - Present

XR SECURITIES LLC

Office #1: 550 West Jackson Boulevard #1000, Chicago, IL 60661-5704
BD
CRD#: 145357
Chicago, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 4/10/2017
Securities Trader Exam
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

XS
XR SECURITIES LLC
RHOBD LLC | XR SECURITIES LLC

CRD#: 145357 / SEC#: , 8-67724

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

Main Address
550 West Jackson Boulevard #1000, Chicago, IL 60661-5704
Mailing Address
550 West Jackson Boulevard #1000, Chicago, IL 60661-5704
Phone number
(312) 244-4500
Established
Delaware since 05/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
XR GROUP LLCMEMBER
BROSNAN, JOHN KEVINCHIEF OPERATING OFFICER4477913
DRURY, LUTHER DOUGLASMANAGING MEMBER2517034
HARABURDA, MATTHEW WALTERPRESIDENT5912062
VIVIRITO, FRANK JOSEPHCHIEF COMPLIANCE OFFICER5596447

Disclosures

Regulatory Event6

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

XR SECURITIES LLC

CRD#: 145357Chicago, IL 60661-5704

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