John W. Nick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Walters Nick JR, who also goes by John W Nick Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2015 - November 25, 2015
TD PRIME SERVICES LLC
May 6, 2014 - August 27, 2014
TD PRIME SERVICES LLC
August 27, 2009 - January 15, 2014
TD PRIME SERVICES LLC
April 16, 2007 - July 21, 2009
MND PARTNERS, INC.
March 26, 2004 - April 18, 2007
Z&Z SECURITIES INC.
April 22, 2003 - November 11, 2003
Z&Z SECURITIES INC.
March 5, 2002 - April 16, 2003
CARR SECURITIES CORPORATION
December 6, 2001 - August 6, 2002
TERRA NOVA FINANCIAL, LLC
March 7, 2001 - July 23, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
August 31, 1999 - March 7, 2001
P. R. HERZIG & CO. INC.
October 29, 1983 - July 24, 1985
MCKENNA CLOUD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
Red Flags
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