Nicholas J. Stratakis
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 Stratakis, who also goes by Nicholas Stratakis, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1984. Nicholas had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2012 - December 12, 2012
OBSIDIAN FINANCIAL GROUP, LLC
July 21, 2011 - October 12, 2011
PARK AVENUE SECURITIES LLC
September 28, 2009 - April 1, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
March 23, 2009 - July 31, 2009
KABRIK TRADING LLC
May 22, 2008 - April 1, 2009
HALCYON CABOT PARTNERS, LTD.
October 26, 2004 - June 3, 2008
ABN AMRO CLEARING USA LLC
January 14, 2002 - July 30, 2004
JEFFERIES EXECUTION SERVICES, INC.
October 1, 2000 - January 14, 2002
LAWRENCE HELFANT LLC
December 18, 1984 - October 1, 1986
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
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.
