Nicholas R. Palmer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Robert Palmer, who also goes by Nicholas R Palmer, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2023. Nicholas had worked at 1 firm and has passed the Series 63, Series 57TO, Series 99TO, Series 7TO, SIE and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2023 - April 16, 2026
MIRAE ASSET SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 7/20/2023
Securities Trader ExamSeries 99TO
Date: 7/5/2023
Operations Professional ExaminationSeries 7TO
Date: 6/14/2023
General Securities Representative ExaminationCurrent Firm
MIRAE ASSET SECURITIES (USA) INC.
CRD#: 30679 / SEC#: , 8-45034
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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