Stephen J. Nicholas
Professional summary
Stephen James Nicholas, who also goes by Stephen James Nicholas Jr., is a registered financial advisor currently at PLATFORM TECHNOLOGY PARTNERS located in Woodbury, New York and SPIRE SECURITIES, LLC located in Woodbury, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Stephen has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen James Nicholas's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 9, 2022 - Present
PLATFORM TECHNOLOGY PARTNERS
Office #1: 135 Crossways Park Dr, Ste 404, Woodbury, NY 11797August 9, 2022 - Present
SPIRE SECURITIES, LLC
Office #1: 135 Crossways Park Drive Suite 404, Woodbury, NY 11797April 12, 2021 - September 2, 2022
J.P. MORGAN SECURITIES LLC
October 5, 2020 - September 2, 2022
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
PLATFORM TECHNOLOGY PARTNERS
CRD#: 305602 / SEC#: 801-117439
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/9/2022)
(8/9/2022)
Exams
Series 7TO
Date: 10/5/2020
General Securities Representative ExaminationFINRA
Current Firm
PLATFORM TECHNOLOGY PARTNERS
CRD#: 305602 / SEC#: 801-117439
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,939 |
| AUM (Assets Under Management) | $ 1,090,849,298 |
Red Flags
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