Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Griffiths is a financial professional with over 15 years of experience in the industry. Nicholas is currently registered with Seaport Global Securities LLC and has held previous roles at COWEN AND COMPANY, CRT CAPITAL GROUP LLC, BARCLAYS CAPITAL INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Nicholas is licensed to provide securities and investment advice in all 50 states and the District of Columbia. Nicholas is a Series 7 and Series 63 license holder.
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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NY
02/27/2018 - Present
Seaport Global Securities LLC (NEW YORK NY)
CT
05/09/2016 - 02/28/2018
COWEN AND COMPANY (Stamford CT)
NY
11/12/2009 - 05/11/2016
CRT CAPITAL GROUP LLC (NEW YORK NY)
NY
05/30/2006 - 07/16/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/02/2003 - 05/30/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 11/25/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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