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KN

Kenji M. Nicks

CORMARK SECURITIES (USA) LIMITED
Toronto, Ontario, M5J 2J2
Some features on this profile are disabled
CRD#: 7900337
KN

Professional summary

Kenji Mogens Nicks is a registered financial professional currently at CORMARK SECURITIES (USA) LIMITED .

Kenji is registered as a RR (Registered Representative) and started their career in finance in 2024. Kenji has worked at 2 firms 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenji Mogens Nicks'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®
None

Experience

Current

January 8, 2025 - Present

CORMARK SECURITIES (USA) LIMITED

Office #1: Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
BD
CRD#: 101000
Toronto, Ontario,
Past

July 8, 2024 - December 16, 2024

VENTUM FINANCIAL (US) CORP.

BD
CRD#: 127404
VANCOUVER,

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
(1/20/2025)
RR
Connecticut
(4/9/2025)
RR
Florida
(1/20/2025)
RR
Georgia
(1/20/2025)
RR
Illinois
(6/23/2025)
RR
Maryland
(1/20/2025)
RR
Massachusetts
(1/20/2025)
RR
Minnesota
(3/20/2025)
RR
New York
(1/8/2025)
RR
Pennsylvania
(1/20/2025)
RR
Texas
(1/8/2025)
RR
Utah
(1/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/14/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CORMARK SECURITIES (USA) LIMITED
CORMARK SECURITIES (USA) LIMITED | SPROTT SECURITIES (USA) LIMITED

CRD#: 101000 / SEC#: , 8-52049

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

Main Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Mailing Address
Royal Bank Plaza, North Tower 200 Bay Street, Suite 1800, Toronto, Ontario, M5J 2J2
Phone number
(416) 362-7485
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CORMARK SECURITIES INCSHAREHOLDER
EDWARDS, LISA MARIECCO5592656
EURICH, DARREN LEECEO7323470
LAMPMAN, KARLY MICHELLECHIEF FINANCIAL OFFICER6113306

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

CORMARK SECURITIES (USA) LIMITED

CRD#: 101000Toronto, Ontario, M5J 2J2

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