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NF

Nicholas M. Fallon

LSH PARTNERS SECURITIES LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 7914231
NF

Professional summary

Nicholas Michael Fallon, who also goes by Nick Fallon, is a registered financial professional currently at LSH PARTNERS SECURITIES LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2024. Nicholas has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Fallon

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 Nicholas Michael Fallon'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

July 9, 2024 - Present

LSH PARTNERS SECURITIES LLC

Office #1: 780 Third Avenue 11th Floor, New York, NY 10017
BD
CRD#: 284952
NEW YORK, NY

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
New York
(7/30/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/30/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/27/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/9/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LP
LSH PARTNERS SECURITIES LLC
ASHWOOD PARTNERS SECURITIES LLC | LSH PARTNERS SECURITIES LLC

CRD#: 284952 / SEC#: , 8-69817

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

Main Address
780 Third Avenue 11th Floor, New York, NY 10017
Mailing Address
780 Third Avenue 11th Floor, New York, NY 10017
Phone number
(646) 453-5650
Established
Delaware since 05/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LSH PARTNERS LLCSOLE MEMBER
CHISM, PATRICK ANDREWCHIEF COMPLIANCE OFFICER2875421
KEMPNER, JAMES LINDSEYPRESIDENT1227912
PREW, RACHEL SAMUELSVP/ SECRETARY5967786
SAKOL, DANIEL SCOTTPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2813237

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

LSH PARTNERS SECURITIES LLC

CRD#: 284952New York, NY 10017

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