ND
Nicolas D. Duke
HAYWOOD SECURITIES (USA)
Vancouver, Bc, V6C 3L6
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CRD#: 7699088
ND
Professional summary
Nicolas Dean Duke is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .
Nicolas is registered as a RR (Registered Representative) and started their career in finance in 2023. Nicolas has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicolas Dean Duke'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
June 29, 2023 - Present
HAYWOOD SECURITIES (USA) INC.
Office #1: 200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6BD
CRD#: 42072
Vancouver, Bc,
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(11/11/2024)
RR
Arizona(4/17/2025)
RR
California(9/12/2023)
RR
Colorado(6/6/2024)
RR
Florida(1/27/2025)
RR
Georgia(2/12/2025)
RR
Maryland(1/2/2025)
RR
Massachusetts(6/28/2024)
RR
Michigan(7/8/2024)
RR
Minnesota(10/3/2024)
RR
New Jersey(5/13/2024)
RR
New York(8/21/2024)
RR
Ohio(1/18/2024)
RR
Utah(7/15/2025)
RR
Virginia(10/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/29/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HAYWOOD SECURITIES (USA) INC.
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Phone number
(604) 697-7400
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
