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Detailed Report
Nikola Sormaz
CRD#: 6834408
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 780 State St Unit 1
New Haven, CT 06511-3920
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - Present (7 years)
License(s)

State Registrations

B
California 10/26/2021
B
Ohio 1/16/2018
B
Colorado 6/4/2019
B
Oregon 11/12/2021
B
Connecticut 11/14/2017
B
Pennsylvania 1/14/2025
IA
Connecticut 11/14/2017
B
South Carolina 1/14/2022
B
Florida 11/12/2021
B
Tennessee 7/17/2020
B
Maine 11/12/2021
B
Vermont 11/12/2021
B
Massachusetts 11/12/2021
B
Washington 11/12/2021
B
New Jersey 11/12/2021
B
Wisconsin 11/12/2021
B
New York 7/8/2019

SRO Registrations

B
 FINRA
B
 NYSE American 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
EDWARD JONES (CRD#:250)
780 State St Unit 1, New Haven, CT 06511-3920
Registered with this firm since 11/14/2017
B
EDWARD JONES (CRD#:250)
780 State St Unit 1, New Haven, CT 06511-3920
Registered with this firm since 10/25/2017
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.