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Nicholas Andrew Whitley

SP Securities LLC

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About Nicholas Andrew Whitley

Nicholas Whitley is a financial professional with experience in the securities industry. Nicholas is registered with the state of Texas and holds Series 63, Series 79TO and SIE licenses. Nicholas is currently employed with SP Securities LLC.

Firm Information

Nicholas Whitley is currently registered with SP Securities LLC. SP Securities LLC is a Limited Liability Company that was formed on January 15, 2004. The firm is registered with the SEC and in 13 states, including Alabama, California, Colorado, Florida, Illinois, Louisiana, Massachusetts, New Jersey, New York, North Carolina, Rhode Island, Texas, and Washington.

Not reported

Assets Under Management

Not reported

Total Clients

25

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Nicholas Whitley’s Registration & Firm History

TX

12/09/2022 - Present

SP Securities LLC (HOUSTON TX)

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Licenses & Designations

BC

Issued 10/03/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/09/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 06/27/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Andrew Whitley.
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