Nicholas A. Stuart
Professional summary
Nicholas Alexander Eaton Stuart, who also goes by Nico Stuart, is a registered financial professional currently at ALLEN & COMPANY LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2025. Nicholas has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Alexander Eaton Stuart's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 5, 2026 - Present
ALLEN & COMPANY LLC
Office #1: 711 Fifth Avenue, New York, NY 10022August 5, 2025 - March 10, 2026
HOULIHAN LOKEY CAPITAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 8/4/2025
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ALLEN & COMPANY LLC
CRD#: 1042 / SEC#: , 8-12123
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLEN OPERATIONS LLC | PARENT COMPANY | |
| ALLEN, HERBERT, III ANTHONY | MANAGING DIRECTOR & PRESIDENT | 1532662 |
| DIIORIO, PETER | GENERAL COUNSEL | 5309583 |
| GOLINSKY, JODI | CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | 7671190 |
| MOORE, THOMAS MICHAEL | VICE PRESIDENT - OPERATIONS (CHIEF OPERATIONS OFFICER) | 6046204 |
| VAHABZADEH, SALIMA | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 3093372 |
Disclosures
| Regulatory Event | 14 |
Red Flags
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