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NK

Nicholas J. Kothman

OPENYIELD TRADING
NEW YORK, NY 10170
Some features on this profile are disabled
CRD#: 7296913
NK
Nicholas Joseph KothmanOPENYIELD TRADING

Professional summary

Nicholas Joseph Kothman, who also goes by Nick Kothman, is a registered financial professional currently at OPENYIELD TRADING LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2020. Nicholas has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.

Aliases

Nick Kothman

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 Nicholas Joseph Kothman'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

August 10, 2026 - Present

OPENYIELD TRADING LLC

Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170
BD
CRD#: 326199
NEW YORK, NY
Past

November 23, 2020 - July 15, 2025

STATE STREET GLOBAL MARKETS, LLC

BD
CRD#: 285852
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(8/10/2026)
RR
Illinois
(8/10/2026)
RR
New York
(8/10/2026)
RR
Texas
(8/10/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/6/2021
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/29/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

OT
OPENYIELD TRADING LLC
OPENYIELD TRADING LLC

CRD#: 326199 / SEC#: , 8-71081

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

Main Address
205 East 42nd St Suite 1935, New York, NY 10017
Mailing Address
205 East 42nd St Suite 1935, New York, NY 10017
Phone number
(908) 409-3542
Established
Delaware since 03/10/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
OPENYIELD INC.SOLE MEMBER OF LLC AND PARENT COMPANY
BIRNBAUM, JONATHAN ADAMCEO, PRESIDENT AND MANAGING PRINCIPAL5350316
CARTER, ANA RFINOP AND CHIEF FINANCIAL OFFICER4424794
SHPETNER, THOMAS DANIELGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4487619

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

OPENYIELD TRADING LLC

CRD#: 326199New York, NY 10170

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