Nicholas R. Lazio
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 Rosario Lazio, who also goes by Nicholas Lazard, Nicholas R Lazio, Nick Lazio, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1984. Nicholas had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2016 - September 2, 2016
TITUS ROCKEFELLER, LLC
June 16, 2014 - November 24, 2014
MERRIMAN CAPITAL, INC.
October 29, 2010 - June 25, 2012
OBSIDIAN FINANCIAL GROUP, LLC
June 4, 2008 - November 2, 2010
INVESTORS CAPITAL CORP.
July 15, 2005 - June 3, 2008
MOORS & CABOT FINANCIAL ADVISORS, LLC
August 16, 2002 - August 21, 2006
MOORS & CABOT, INC.
November 12, 2001 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
May 10, 1990 - November 8, 2001
BLUESTONE CAPITAL CORP.
August 31, 1989 - May 16, 1990
LEHMAN BROTHERS INC.
March 7, 1988 - August 16, 1989
GRUNTAL & CO., L.L.C.
May 26, 1987 - March 9, 1988
MOSELEY SECURITIES CORPORATION
October 9, 1986 - August 1, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
April 23, 1985 - June 19, 1986
ROONEY, PACE INC.
March 27, 1985 - April 26, 1985
D. H. BLAIR & CO., INC.
September 20, 1984 - March 28, 1985
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TITUS ROCKEFELLER, LLC
CRD#: 43608 / SEC#: , 8-50333
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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