Nicholas L. Fry
Professional summary
Nicholas Longworth Fry was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Nicholas had worked at 3 firms, which includes ROSS SINCLAIRE & ASSOCIATES LLC, FRY HENSLEY & CO, LINCOLN FINANCIAL DISTRIBUTORS INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2003 - July 21, 2008
ROSS, SINCLAIRE & ASSOCIATES, LLC
January 1, 2001 - December 31, 2013
FRY HENSLEY & CO
October 26, 1984 - April 27, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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