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ND

Nicole T. Delany

RONDOUT PARTNERS
High Falls, NY 12440
Some features on this profile are disabled
CRD#: 7448009
ND

Professional summary

Nicole Theresa Delany, who also goes by Nicki Delany, is a registered financial professional currently at RONDOUT PARTNERS, LLC located in High Falls, New York.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2022. Nicole has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicki Delany

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 Nicole Theresa Delany's CRS (Customer Relationship Summary).
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

January 1, 2022 - Present

RONDOUT PARTNERS, LLC

Office #1: 617 Berme Road, High Falls, NY 12440
BD
CRD#: 298367
High Falls, NY

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 12/28/2021
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RP
RONDOUT PARTNERS, LLC
DALKEITH GROUP, LLC | RONDOUT PARTNERS, LLC

CRD#: 298367 / SEC#: , 8-70190

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

Main Address
617 Berme Road, High Falls, NY 12440
Mailing Address
617 Berme Road, High Falls, NY 12440
Phone number
(646) 334-5330
Established
New York since 05/25/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GARCIA-EGGEN, PEDRO GLENOWNER/MANAGING MEMBER, CCO, AMLCO2529228
DELANY, NICOLE THERESAFINANCIAL PRINCIPAL, PFO, POO7448009

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

RONDOUT PARTNERS, LLC

CRD#: 298367High Falls, NY 12440

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