Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicolas? Claim Your ProfileNicolas Diener is a financial professional with over 10 years of experience in the industry. Nicolas is currently registered with Scotia Capital (usa) Inc. Nicolas holds multiple licenses, including Series 7, Series 3, Series 63, Series 24 and the SIE. Nicolas is registered in 52 states across the US. Nicolas previously worked at Barclays Capital Inc.
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
NY
02/06/2024 - Present
Scotia Capital (usa) Inc. (NEW YORK NY)
NY
02/09/2016 - 12/12/2018
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
09/03/2013 - 05/27/2014
BARCLAYS CAPITAL INC. (NEW YORK NY)
BC
Issued 12/11/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/2024
Series 24 - General Securities Principal Examination
BC
Issued 02/05/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2017
Series 3 - National Commodity Futures Examination
BC
Issued 09/03/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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