Nicholas M. Zambole
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 Mario Zambole JR, who also goes by Nicholas Mario Jr Zambole, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1985. Nicholas had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 1991 - May 25, 1993
HAMILTON INVESTMENTS, INC.
September 1, 1989 - February 13, 1990
UBS FINANCIAL SERVICES INC.
May 16, 1988 - September 20, 1989
MORGAN STANLEY DW INC.
December 1, 1986 - May 25, 1988
CIBC WORLD MARKETS CORP.
March 26, 1985 - December 4, 1986
E. F. HUTTON & COMPANY INC
January 16, 1985 - February 22, 1985
FORESTERS FINANCIAL SERVICES, 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
HAMILTON INVESTMENTS, INC.
CRD#: 821 / SEC#: , 8-1959
Contact information
Documents
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.
