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FIRM PROFILE
Overview
FIRST ANALYSIS SECURITIES CORPORATION is located at One South Wacker Drive Suite 3900, Chicago, IL 60606 and was first established at Chicago, Illinois in 01/27/1982. After operating for 44 years, FIRST ANALYSIS SECURITIES CORPORATION has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FIRST ANALYSIS SECURITIES CORPORATION’s clients are individuals and 0% of their clients are high net worth individuals. FIRST ANALYSIS SECURITIES CORPORATION has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FIRST ANALYSIS SECURITIES CORPORATION are registered to handle securities or provide financial advice. The firm has 3 disclosures, 3 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FIRST ANALYSIS SECURITIES CORPORATION‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FIRST ANALYSIS SECURITIES CORPORATION. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for FIRST ANALYSIS SECURITIES CORPORATION Comes From
Understanding the Statistics for FIRST ANALYSIS SECURITIES CORPORATION and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
One South Wacker Drive Suite 3900, Chicago, IL 60606
One South Wacker Drive Suite 3900, Chicago, IL 60606
Small
(312) 258-1400
Illinois since 01/27/1982
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| FIRST ANALYSIS CORPORATION | PARENT COMPANY | ||
| HESS, DAVID CLARENCE | CHIEF COMPLIANCE OFFICER | 2187717 | |
| KHAN, RIAAD SYED | CHIEF FINANCIAL OFFICER / FINOP | 6759962 | |
| LESHUK, DAVID JOHN | DIRECTOR | 2935779 | |
| NICKLIN, FRANCIS OLIVER JR | CEO, MANAGING DIRECTOR & PRESIDENT | 347877 | |
| NICKLIN, MATTHEW OLIVER | MANAGING DIRECTOR | 4216136 |
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Advisor's working at FIRST ANALYSIS SECURITIES CORPORATION
Josephine Margaret Mae Horan
Richard Paul Conklin
David Clarence Hess
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