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Nicholas J. Sprung

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CRD#: 1032487
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas John Sprung was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1983. Nicholas had worked at 4 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 1, 1985 - October 4, 1989

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
Past

September 19, 1984 - May 21, 1985

BUCKINGHAM SECURITIES, LTD.

BD
CRD#: 10570
Past

June 22, 1984 - September 5, 1984

J.D. COPPERFIELD, LTD.

BD
CRD#: 13036
Past

March 8, 1983 - March 25, 1983

TOWNSEND, BAUERLE & COMPANY, INC.

BD
CRD#: 8338
Past

March 8, 1983 - September 12, 1984

BUCKINGHAM SECURITIES, LTD.

BD
CRD#: 10570

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/1/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/19/1985
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/1984
General Securities Principal Examination

Current Firm

PA
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
EQUISEARCH INVESTMENT BANKERS CORPORATION | SPRUNG AND WISE SECURITIES, INC. | SPRUNG & WISE SECURITIES, INC. | SPRUNG & WISE AND BRIDGEROCK SECURITIES | PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. | PORTFOLIO ASSET MGT. & INVESTMENT ADVISORY SERVICES, INC. | NONE

CRD#: 13741 / SEC#: , 8-45398

BD
Cancelled by SEC on 07/15/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/08/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

CRD#: 13741

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