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NK

Nicholas A. Kaye

OLD MISSION CAPITAL
New York, NY 10271
Some features on this profile are disabled
CRD#: 6963629
NK

Professional summary

Nicholas Alexander Kaye is a registered financial professional currently at OLD MISSION CAPITAL, LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 4 firms and has passed the Series 99TO, Series 6TO, Series 82TO, Series 22TO, Series 57TO, Series 7TO and SIE 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 Alexander Kaye'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

August 7, 2024 - Present

OLD MISSION CAPITAL, LLC

Office #1: 120 Broadway Street, New York, NY 10271
BD
CRD#: 146991
New York, NY
Past

August 7, 2024 - December 26, 2024

OLD MISSION MARKETS LLC

BD
CRD#: 281867
New York, NY
Past

October 3, 2019 - April 12, 2023

RBC CMA LTD

BD
CRD#: 121263
NEW YORK, NY
Past

September 16, 2019 - April 12, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

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
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 10/7/2019
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/9/2019
Securities Industry Essentials Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

OM
OLD MISSION CAPITAL, LLC
OLD MISSION CAPITAL, LLC

CRD#: 146991 / SEC#: , 8-67867

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

Main Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602
Mailing Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602
Phone number
(312) 235-5371
Established
Illinois since 03/19/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OLD MISSION GROUP LLCMEMBER
GUZOWSKI, JOSEF MICHAELMANAGER2989719
KEITH, ALLEN THOMASFINOP4457493
LOOBY, KEVIN PETERCHIEF COMPLIANCE OFFICER4229297
MARQUEZ AVITIA, ERICA NMNCHIEF OPERATING OFFICER5074353
NICHOLS, PATRICK JAMESMANAGER4757503
RUSSINA, BRYAN SCOTTMANAGER5031844

Disclosures

Regulatory Event8

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

OLD MISSION CAPITAL, LLC

CRD#: 146991New York, NY 10271

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