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Nicholas Yang

N.A. INVESTCORP LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 7582276
NY

Professional summary

Nicholas Yang is a registered financial professional currently at N.A. INVESTCORP LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Yang'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

September 16, 2024 - Present

N.A. INVESTCORP LLC

Office #1: 280 Park Avenue 39th Floor, New York, NY, 10017Office #2: 280 Park Avenue 39th Floor, New York, NY, 10017
BD
CRD#: 134162
New York, NY
Past

July 29, 2022 - July 22, 2024

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY

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
New York
(9/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NI
N.A. INVESTCORP LLC
N.A. INVESTCORP LLC

CRD#: 134162 / SEC#: , 8-66812

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

Main Address
280 Park Avenue 39th Floor, New York, NY, 10017
Mailing Address
280 Park Avenue 39th Floor, New York, NY, 10017
Phone number
(212) 599-4700
Established
Delaware since 11/23/2004
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (7 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#
INVESTCORP INTERNATIONAL HOLDINGS, INC.SHAREHOLDER
GOLDCHAIN, SCOTT DAVIDPRESIDENT AND CHIEF EXECUTIVE OFFICER3276936
MURPHY, BRIAN JOSEPHSECRETARY1720020
QASIMI, SAMICHIEF COMPLIANCE OFFICER5640450
SHEA, PATRICK OFARRELLHEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL838154

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

N.A. INVESTCORP LLC

CRD#: 134162New York, NY 10017

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