Nicholas J. Chase
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.
Nicholas Jack Chase was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2019. Nicholas had worked at 2 firms and has passed the Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2021 - October 17, 2025
PRIME CAPITAL MARKETS, LLC
May 10, 2019 - May 28, 2020
RONIN CAPITAL, LLC
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
Series 57TO
Date: 5/10/2019
Securities Trader ExamCurrent Firm
PRIME CAPITAL MARKETS, LLC
CRD#: 310298 / SEC#: , 8-70570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIME GROUP HOLDING LLC | MEMBER AND MANAGER | |
| BALCARCEL, JOSEPH ROBERT | CHIEF OPERATING OFFICER | 7492741 |
| CHLADA, THOMAS FRANCIS | CHIEF EXECUTIVE OFFICER | 1533996 |
| MACDONALD, DONNA JOY | CHIEF COMPLIANCE OFFICER | 1178698 |
| OULVEY, DAVID EUGENE | CHIEF FINANCIAL OFFICER AND FINANCIAL & OPERATIONS PRINCIPAL | 2279183 |
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.
