Nicholas M. Calapa
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 Michael Calapa was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1987. Nicholas had worked at 8 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 1998 - March 21, 2000
BAXTER BANKS & SMITH, LTD.
April 28, 1997 - June 6, 1997
WOODSTOCK FINANCIAL GROUP, INC.
October 3, 1996 - January 22, 1997
INVESTORS ASSOCIATES, INC.
July 25, 1996 - September 23, 1996
STUART, COLEMAN & CO., INC.
March 8, 1996 - August 19, 1996
GILFORD SECURITIES INCORPORATED
July 31, 1993 - March 12, 1996
CITIGROUP GLOBAL MARKETS INC.
January 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 22, 1989 - February 3, 1992
CITIGROUP GLOBAL MARKETS INC.
April 29, 1987 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
Red Flags
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