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NS

Nicholas E. Smith

Some features on this profile are disabled
CRD#: 7406425
NS

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 Everett Smith, who also goes by Nick Smith, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2022. Nicholas had worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Smith

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 1, 2022 - February 28, 2024

SP SECURITIES LLC

BD
CRD#: 130560
DALLAS, TX

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

State Security Law Exam
RR
Series 63
Date: 6/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/5/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/27/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/4/2021
Securities Industry Essentials Examination

Current Firm

SS
SP SECURITIES LLC
SP SECURITIES LLC

CRD#: 130560 / SEC#: , 8-66360

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

Main Address
6363 Woodway Dr Suite 1000, Houston, TX 77057
Mailing Address
6363 Woodway Dr Suite 1000, Houston, TX 77057
Phone number
(713) 819-8980
Established
Texas since 01/15/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAGE PARTNERS LTD.SOLE MEMBER
BINET, TODD M.MANAGER, REGISTERED PRINCIPAL
MILLER, DAVID SUTTONMANAGER, REGISTERED PRINCIPAL2097046
MORIN, PETER B.MANAGER, REGISTERED PRINCIPAL
WALTON, H. STEVENMANAGER, REGISTERED PRINCIPAL
WILSON, WILLIAM HOWARD JRMANAGER, REGISTERED PRINCIPAL, AML PRINCIPAL
WILSON, WILLIAM HOWARD JRDESIGNATED PRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER1430161

Disclosures

Regulatory Event1

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

SP SECURITIES LLC

CRD#: 130560

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