Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Thoms is a securities professional with over 16 years of experience in the industry. Nicholas currently holds the position of a registered representative at TP Icap Global Markets Americas LLC. Nicholas has passed the Series 7, 24, 55, 57TO, and 63 exams. Nicholas has held prior positions at Morgan Stanley & Co. Incorporated. Nicholas is licensed in Maryland, New Jersey, 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
NJ
01/13/2009 - Present
TP Icap Global Markets Americas LLC (EDISON NJ)
NY
12/05/2006 - 10/14/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 04/02/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2014
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/04/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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