NL
Nicholas P. Lui
SUSQUEHANNA SECURITIES
New York, NY 10001
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CRD#: 6991213
NL
Professional summary
Nicholas Park Ho Lui, who also goes by Nicholas Lui, is a registered financial professional currently at SUSQUEHANNA SECURITIES, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Lui
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 Park Ho Lui'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 24, 2018 - Present
SUSQUEHANNA SECURITIES, LLC
Office #1: 30 Hudson Yards 16th Floor, New York, NY 10001BD
CRD#: 35874
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
SRO Registrations
RR
NYSE American LLC
Current Firm
SS
SUSQUEHANNA SECURITIES, LLC
SUSQUEHANNA SECURITIES | SUSQUEHANNA SECURITIES, LLC
CRD#: 35874 / SEC#: , 8-47034
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-2600
Established
Delaware since 08/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 60 |
Red Flags
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