Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Ward is a financial professional with over 10 years of experience in the industry. Nicholas is currently registered with Cowen and Co. in Stamford, CT. Previously, Nicholas was employed by MKM PARTNERS LLC in Santa Monica, CA and Cantor Fitzgerald & Co. in New York, NY. Nicholas holds Series 63, Series 24 and Series 7 licenses. Nicholas is also licensed in Connecticut and New York.
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.
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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2
CT
11/14/2018 - Present
Cowen AND Co. (Stamford CT)
CA
12/02/2013 - 10/17/2018
MKM PARTNERS LLC (Santa Monica CA)
NY
09/26/2008 - 11/13/2013
CANTOR FITZGERALD & CO. (NEW YORK NY)
BC
Issued 10/13/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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