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Nicholas B. Paumgarten

Some features on this profile are disabled
CRD#: 841520
NP

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 Biddle Paumgarten was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1977. Nicholas had worked at 5 firms and has passed the Series 63, SIE, Series 24 and Series 40 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 9, 2013 - November 29, 2023

CORSAIR ADVISORS LLC

BD
CRD#: 164469
NEW YORK, NY
Past

May 1, 2001 - March 16, 2006

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

September 25, 1992 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

April 11, 1991 - February 18, 1992

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

August 17, 1977 - April 2, 1991

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 8/8/1977
Registered Principal Examination

Current Firm

CA
CORSAIR ADVISORS LLC
CORSAIR ADVISORS LLC

CRD#: 164469 / SEC#: , 8-69103

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
550 Madison Avenue 27th Floor, New York, NY 10022
Mailing Address
550 Madison Avenue 27th Floor, New York, NY 10022
Phone number
(212) 224-9400
Established
Delaware since 01/11/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CORSAIR CAPITAL, L.P.SOLE MEMBER
JAYANTI, DHARMA TEJA IGNACIOCHIEF EXECUTIVE OFFICER2633264
ROTHENBERG, SHARI PFINOP6590875
WANG, JIMMY AKASHICHIEF COMPLIANCE OFFICER6177810

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

CORSAIR ADVISORS LLC

CRD#: 164469

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