Nicolas A. Arizaga
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.
Nicolas Antonio Arizaga, who also goes by Nick Arizaga, was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 1985. Nicolas had worked at 4 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2016 - May 19, 2017
NEW INVESTOR WORLD INCORPORATED
July 21, 1993 - December 31, 1995
AVANTAX INVESTMENT SERVICES, INC.
July 10, 1985 - November 5, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
July 10, 1985 - November 17, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NEW INVESTOR WORLD INCORPORATED
CRD#: 109356 / SEC#: , 8-53087
Contact information
Documents
Red Flags
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