Nicholas J. Mingone
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 Mingone, who also goes by Nick Mingone, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1984. Nicholas had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6, Series 9, Series 10 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2016 - April 1, 2019
CITIZENS SECURITIES, INC.
March 23, 2016 - April 1, 2019
CITIZENS SECURITIES, INC.
June 8, 2015 - March 24, 2016
HARRISDIRECT LLC
June 8, 2015 - March 24, 2016
E*TRADE SECURITIES LLC
February 27, 2015 - June 10, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
May 1, 2014 - June 10, 2015
ALLSTATE FINANCIAL SERVICES, LLC
September 10, 2009 - October 2, 2013
EQUITY SERVICES, INC.
September 10, 2009 - October 2, 2013
EQUITY SERVICES, INC.
September 13, 2007 - August 27, 2009
MSI FINANCIAL SERVICES, INC.
August 12, 1998 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 12, 1998 - August 27, 2009
MSI FINANCIAL SERVICES, INC.
December 2, 1996 - July 27, 1998
MML INVESTORS SERVICES, LLC
April 4, 1996 - November 27, 1996
NEW ENGLAND SECURITIES
April 5, 1994 - February 23, 1996
HORNOR, TOWNSEND & KENT, LLC
April 20, 1989 - April 5, 1994
NEW ENGLAND SECURITIES
July 20, 1984 - April 26, 1989
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
