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Erica Nieves

COMMONWEALTH AUSTRALIA SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6994941
EN

Professional summary

Erica Nieves is a registered financial professional currently at COMMONWEALTH AUSTRALIA SECURITIES LLC located in New York, New York.

Erica is registered as a RR (Registered Representative) and started their career in finance in 2018. Erica has worked at 2 firms and has passed the SIE and Series 99 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 Erica Nieves'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 26, 2024 - Present

COMMONWEALTH AUSTRALIA SECURITIES LLC

Office #1: 599 Lexington Avenue 30th Fl, New York, NY 10022
BD
CRD#: 136321
New York, NY
Past

December 6, 2018 - January 8, 2024

ABN AMRO SECURITIES (USA) LLC

BD
CRD#: 151796
NEW BRUNSWICK, NJ

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: 12/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 12/6/2018
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

CA
COMMONWEALTH AUSTRALIA SECURITIES LLC
COMMONWEALTH AUSTRALIA SECURITIES LLC | COMMSEC LLC

CRD#: 136321 / SEC#: , 8-66998

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

Main Address
599 Lexington Avenue 30th Fl, New York, NY 10022
Mailing Address
599 Lexington Avenue 30th Fl, New York, NY 10022
Phone number
(212) 848-9200
Established
Delaware since 05/10/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
COMMONWEALTH BANK 0F AUSTRALIASOLE MEMBER
FELDMAN, RICHARD MARKPFO2273453
LAWRENCE, LARRY OCEO4237420
POULTON, JAYSON ALANCFO & POO6738733
VARALLI MCCLELLAND, ANN LOUISEPRINCIPAL - FIXED INCOME1043191
WALSH, PAUL ROBERTCHIEF COMPLIANCE OFFICER3189041
WINTERS, JENNIFERANTI-MONEY LAUNDERING COMPLIANCE OFFICER2604316

Disclosures

Regulatory Event2

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

COMMONWEALTH AUSTRALIA SECURITIES LLC

CRD#: 136321New York, NY 10022

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