Stephen Nicholas is a registered investment advisor, based in Woodbury, NY, with 5 years of industry experience.
Location
135 Crossways Park Dr,, Ste 404, Woodbury, NY, 11797
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Stephen organizes events for the First Tee program, focusing on college preparation for youth. This activity is not investment-related.
Employment History
Current Registrations
Spire Securities, LLCBroker
August 2022 - Present · 3 yrs 9 mos
Platform Technology Partners
August 2022 - Present · 3 yrs 9 mos
Previous Registrations
J.P. Morgan Securities LLC
April 2021 - September 2022 · 1 yr 5 mos
J.P. Morgan Securities LLCBroker
October 2020 - September 2022 · 1 yr 11 mos
State Registrations1 state
NY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.