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Detailed Report
Nicholas Charles Smith Sr.
NICHOLAS CHARLES SMITH Sr, NICHOLAS CHARLES SMITH, NICHOLAS SMITH
CRD#: 6237842
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 201 S. Lake Ave
Floor 7
Pasadena, CA 91101
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - 2018 (2 years)2 FIRMS2018 - Present (7 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2013 - 2013 (<1 year)
License(s)

State Registrations

B
Alabama 2/23/2018
B
Nebraska 2/23/2018
B
Alaska 2/23/2018
B
Nevada 2/23/2018
B
Arizona 2/23/2018
B
New Hampshire 2/23/2018
B
Arkansas 2/23/2018
B
New Jersey 2/23/2018
B
California 2/23/2018
B
New Mexico 2/23/2018
IA
California 2/23/2018
B
New York 2/23/2018
B
Colorado 2/23/2018
B
North Carolina 2/27/2018
B
Connecticut 2/23/2018
B
North Dakota 2/23/2018
B
Delaware 2/23/2018
B
Ohio 2/25/2018
B
District of Columbia 2/23/2018
B
Oklahoma 2/23/2018
B
Florida 2/23/2018
B
Oregon 2/23/2018
B
Georgia 2/23/2018
B
Pennsylvania 2/23/2018
B
Hawaii 2/23/2018
B
Puerto Rico 2/23/2018
B
Idaho 2/23/2018
B
Rhode Island 2/23/2018
B
Illinois 2/23/2018
B
South Carolina 2/23/2018
B
Indiana 2/23/2018
B
South Dakota 2/23/2018
B
Iowa 2/23/2018
B
Tennessee 2/23/2018
B
Kansas 2/23/2018
B
Texas 2/23/2018
B
Kentucky 2/23/2018
IA
Texas 11/21/2022
B
Louisiana 2/23/2018
B
Utah 2/23/2018
B
Maine 2/23/2018
B
Vermont 2/23/2018
B
Maryland 2/23/2018
B
Virgin Islands 2/23/2018
B
Massachusetts 2/23/2018
B
Virginia 2/23/2018
B
Michigan 2/23/2018
B
Washington 2/23/2018
B
Minnesota 2/23/2018
B
West Virginia 2/23/2018
B
Mississippi 2/23/2018
B
Wisconsin 2/23/2018
B
Missouri 2/23/2018
B
Wyoming 2/23/2018
B
Montana 2/23/2018

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
201 S. Lake Ave Floor 7, Pasadena, CA 91101
Registered with this firm since 2/23/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
201 S. Lake Ave Floor 7, Pasadena, CA 91101
Registered with this firm since 2/23/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/07/2015 - 02/13/2018 CITY NATIONAL SECURITIES, INC. (CRD#:103705) Pasadena, CA
B
 12/04/2015 - 02/13/2018 CITY NATIONAL SECURITIES, INC. (CRD#:103705) Pasadena, CA
IA
 10/03/2013 - 11/27/2015 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 09/06/2013 - 11/27/2015 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
IA
 09/24/2013 - 09/25/2013 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.