NB
Nikolai J. Beck
ANZ SECURITIES
New York, NY 10172-0003
Some features on this profile are disabled
CRD#: 6820604
NB
Professional summary
Nikolai Joseph Lawrence Beck, who also goes by Nik Beck, is a registered financial professional currently at ANZ SECURITIES, INC. located in New York, New York.
Nikolai is registered as a RR (Registered Representative) and started their career in finance in 2019. Nikolai has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nik Beck
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 Nikolai Joseph Lawrence Beck'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
May 25, 2019 - Present
ANZ SECURITIES, INC.
Office #1: 277 Park Avenue Floor 31, New York, NY 10172-0003BD
CRD#: 36654
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(7/10/2019)
RR
Alaska(7/10/2019)
RR
Arizona(7/10/2019)
RR
Arkansas(7/10/2019)
RR
California(7/10/2019)
RR
Colorado(7/10/2019)
RR
Connecticut(7/10/2019)
RR
Delaware(7/10/2019)
RR
District of Columbia(7/10/2019)
RR
Florida(7/10/2019)
RR
Georgia(7/10/2019)
RR
Hawaii(7/10/2019)
RR
Idaho(7/10/2019)
RR
Illinois(7/10/2019)
RR
Indiana(7/10/2019)
RR
Iowa(7/10/2019)
RR
Kansas(7/10/2019)
RR
Kentucky(7/10/2019)
RR
Louisiana(7/10/2019)
RR
Maine(7/10/2019)
RR
Maryland(7/10/2019)
RR
Massachusetts(7/10/2019)
RR
Michigan(7/10/2019)
RR
Minnesota(7/10/2019)
RR
Mississippi(7/10/2019)
RR
Missouri(10/9/2019)
RR
Montana(7/10/2019)
RR
Nebraska(7/10/2019)
RR
Nevada(7/10/2019)
RR
New Hampshire(7/10/2019)
RR
New Jersey(7/10/2019)
RR
New Mexico(7/10/2019)
RR
New York(5/29/2019)
RR
North Carolina(7/10/2019)
RR
North Dakota(7/10/2019)
RR
Ohio(7/10/2019)
RR
Oklahoma(7/10/2019)
RR
Oregon(7/10/2019)
RR
Pennsylvania(7/10/2019)
RR
Puerto Rico(7/10/2019)
RR
Rhode Island(7/10/2019)
RR
South Carolina(7/10/2019)
RR
South Dakota(7/10/2019)
RR
Tennessee(7/10/2019)
RR
Texas(7/10/2019)
RR
Utah(7/10/2019)
RR
Vermont(7/10/2019)
RR
Virgin Islands(7/10/2019)
RR
Virginia(7/10/2019)
RR
Washington(7/10/2019)
RR
West Virginia(7/10/2019)
RR
Wisconsin(7/10/2019)
RR
Wyoming(7/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 10/27/2025
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/25/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AS
ANZ SECURITIES, INC.
ANZ SECURITIES, INC.
CRD#: 36654 / SEC#: , 8-47390
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Mailing Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Phone number
(212) 801-9160
Established
New York since 04/07/1994
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
