ND
Nicholas L. Dundie
BARINGS SECURITIES LLC
CHARLOTTE, NC 28202
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CRD#: 6896772
ND
Professional summary
Nicholas Louis Dundie, who also goes by Nicholas Dundie, Nick Dundie, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Dundie | Nick Dundie
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 Nicholas Louis Dundie'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
July 22, 2024 - Present
BARINGS SECURITIES LLC
Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202BD
CRD#: 36929
CHARLOTTE, NC
Past
March 5, 2018 - December 26, 2018
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
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(7/27/2024)
RR
Alaska(7/27/2024)
RR
Arizona(8/1/2024)
RR
Arkansas(7/27/2024)
RR
California(7/27/2024)
RR
Colorado(7/22/2024)
RR
Connecticut(7/22/2024)
RR
Delaware(7/27/2024)
RR
District of Columbia(7/22/2024)
RR
Florida(7/22/2024)
RR
Georgia(7/27/2024)
RR
Hawaii(7/27/2024)
RR
Idaho(7/22/2024)
RR
Illinois(7/27/2024)
RR
Indiana(7/27/2024)
RR
Iowa(7/27/2024)
RR
Kansas(7/27/2024)
RR
Kentucky(7/27/2024)
RR
Louisiana(7/22/2024)
RR
Maine(7/27/2024)
RR
Maryland(7/22/2024)
RR
Massachusetts(7/27/2024)
RR
Michigan(7/27/2024)
RR
Minnesota(7/27/2024)
RR
Mississippi(7/27/2024)
RR
Missouri(7/27/2024)
RR
Montana(7/27/2024)
RR
Nebraska(7/27/2024)
RR
Nevada(7/27/2024)
RR
New Hampshire(7/27/2024)
RR
New Jersey(7/27/2024)
RR
New Mexico(7/27/2024)
RR
New York(7/27/2024)
RR
North Carolina(7/27/2024)
RR
North Dakota(7/27/2024)
RR
Ohio(7/29/2024)
RR
Oklahoma(7/27/2024)
RR
Oregon(7/27/2024)
RR
Pennsylvania(7/27/2024)
RR
Rhode Island(7/27/2024)
RR
South Carolina(7/27/2024)
RR
South Dakota(7/27/2024)
RR
Tennessee(7/27/2024)
RR
Texas(7/27/2024)
RR
Utah(7/27/2024)
RR
Vermont(7/27/2024)
RR
Virginia(7/27/2024)
RR
Washington(7/27/2024)
RR
West Virginia(7/27/2024)
RR
Wisconsin(7/27/2024)
RR
Wyoming(7/27/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC
CRD#: 36929 / SEC#: , 8-47589
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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