Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicolas? Claim Your ProfileNicolas Louis is a financial professional with over 18 years of experience in the securities industry. Nicolas is currently registered with Rqd* Clearing, LLC. Nicolas holds multiple licenses and designations, including Series 7, Series 24, Series 4, Series 27, and Series 63, and has a strong understanding of the financial markets and investment strategies.
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
07/10/2019 - Present
Rqd* Clearing, LLC (New York NY)
NY
09/15/2004 - 08/13/2018
LEK SECURITIES CORPORATION (NEW CITY NY)
BC
Issued 02/23/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2021
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/29/2014
Series 4 - Registered Options Principal Examination
BC
Issued 05/10/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 08/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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