Nicholas E. Banks
Professional summary
Nicholas E Banks, who also goes by Nicholas Banks, Nick E Banks, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Louisville, Kentucky.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2023. Nicholas has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas E Banks's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 27, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2023)
Exams
Series 6TO
Date: 7/20/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
THE LEADERS GROUP, INC.
CRD#: 37157Louisville, KY 40223TRUST BUT VERIFY
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