NL
Nicholas H. Lappas
FRANKLIN DISTRIBUTORS
Stamford, CT 06902
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CRD#: 7558059
NL
Professional summary
Nicholas Holman Lappas, who also goes by Nick Lappas, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2025. Nicholas has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nick Lappas
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Holman Lappas'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®
NoneExperience
Current
February 19, 2025 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902BD
CRD#: 109064
Stamford, CT
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
Alabama(3/24/2025)
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Alaska(3/24/2025)
RR
Arizona(3/24/2025)
RR
Arkansas(3/24/2025)
RR
California(3/24/2025)
RR
Colorado(3/24/2025)
RR
Connecticut(3/24/2025)
RR
Delaware(3/24/2025)
RR
District of Columbia(3/24/2025)
RR
Florida(3/24/2025)
RR
Georgia(3/24/2025)
RR
Hawaii(3/24/2025)
RR
Idaho(3/24/2025)
RR
Illinois(3/24/2025)
RR
Indiana(3/24/2025)
RR
Iowa(3/24/2025)
RR
Kansas(3/24/2025)
RR
Kentucky(3/24/2025)
RR
Louisiana(3/24/2025)
RR
Maine(3/24/2025)
RR
Maryland(3/24/2025)
RR
Massachusetts(3/24/2025)
RR
Michigan(3/24/2025)
RR
Minnesota(3/24/2025)
RR
Mississippi(3/24/2025)
RR
Missouri(3/24/2025)
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Montana(3/24/2025)
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Nebraska(3/24/2025)
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Nevada(3/24/2025)
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New Hampshire(3/24/2025)
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New Jersey(3/24/2025)
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New Mexico(3/24/2025)
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New York(3/24/2025)
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North Carolina(3/24/2025)
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North Dakota(3/24/2025)
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Ohio(3/24/2025)
RR
Oklahoma(3/24/2025)
RR
Oregon(3/24/2025)
RR
Pennsylvania(3/24/2025)
RR
Rhode Island(3/24/2025)
RR
South Carolina(3/24/2025)
RR
South Dakota(3/24/2025)
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Tennessee(3/24/2025)
RR
Texas(3/24/2025)
RR
Utah(3/24/2025)
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Vermont(3/24/2025)
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Virginia(3/24/2025)
RR
Washington(3/24/2025)
RR
West Virginia(3/24/2025)
RR
Wisconsin(3/24/2025)
RR
Wyoming(3/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/19/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
