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Nic Gillies

FORGE SECURITIES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 7599796
NG

Professional summary

Nic Gillies, who also goes by Nicolo Bruni Gillies, is a registered financial professional currently at FORGE SECURITIES LLC located in San Francisco, California.

Nic is registered as a RR (Registered Representative) and started their career in finance in 2022. Nic has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicolo Bruni Gillies

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 Nic Gillies'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

August 5, 2022 - Present

FORGE SECURITIES LLC

Office #1: 4 Embarcadero Center Suite 1500, San Francisco, CA 94111
BD
CRD#: 134596
San Francisco, CA

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
California
(11/14/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/25/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORGE SECURITIES LLC
FORGE SECURITIES LLC | SHARESPOST FINANCIAL CORPORATION | PERLINSKI & ASSOCIATES

CRD#: 134596 / SEC#: , 8-66846

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

Main Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Mailing Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Phone number
(800) 279-7754
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
FORGE FINANCIAL HOLDING INCOWNER
FLAVIANI, SANDRA STEPHANIEPFO2831682
GRIMES, WILLIAM CHARLESPRESIDENT & EVP, HEAD OF GLOBAL CAPITAL MARKETS5909538
MCGRATH, SHILPICHIEF COMPLIANCE OFFICER5126346
PRICE, JEVON TPOO2948372

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

FORGE SECURITIES LLC

CRD#: 134596San Francisco, CA 94111

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