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Daniel Nicolas

Oppenheimer & Co. Inc.

Red Bank, NJ

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-07-05
  • NJ RA
    APPROVED
    Since 2019-07-05

Branch Locations

3 Harding Road, Red Bank, NJ 07701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metropolitan Life Insurance Company Marlton NJ 04/2004 07/2017
Metlife Securities Inc Marlton NJ 04/2004 07/2017
Mml Investors Services, Llc Marlton NJ 03/2017 07/2019
Oppenheimer & Co. Inc. Red Bank NJ 07/2019 Present
Previous Registrations
  • 2017-03-25 → 2019-07-11
    Mml Investors Services, Llc
    Marlton, NJ
  • 2013-10-16 → 2017-03-25
    Msi Financial Services, Inc.
    Marlton, NJ
    Marlton, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-30
S63 Uniform Securities Agent State Law Examination 2004-07-20
  • S66 Uniform Combined State Law Examination
    2013-08-30
  • S63 Uniform Securities Agent State Law Examination
    2004-07-20

View on SEC IAPD

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CLEAR WAVE WEALTH MANAGEMENT, LLC · RED BANK, NJ
MILLINGTON SECURITIES, LLC · RED BANK, NJ
HARTSHORNE GROUP, LLC · RED BANK, NJ
WBI INVESTMENTS, LLC · RED BANK, NJ
PRINCETON CAPITAL MANAGEMENT LLC · RED BANK, NJ
ATLAS PRIVATE WEALTH ADVISORS · RED BANK, NJ
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