Nicholas Joseph Lapi
Professional Summary
Nicholas Joseph Lapi was a registered financial advisor. Nicholas was a previously registered financial professional and started their career in finance 1986 - 2012. Nicholas had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
CSFBDIRECT | THE HARRIS BROKERAGE | THE HARRIS | PC FINANCIAL NETWORK, INC. | HARRISDIRECT LLC | HARRISDIRECT ADVISORY SERVICES | HARRISDIRECT | HARRIS INVESTOR SERVICES LLC | HARRIS ADVANTEDGE INVESTING | E*TRADE CAPITAL MANAGEMENT, LLC | DLJDIRECT INC. | CSFBDIRECT, LLC | CSFBDIRECT, INC. | CSFBDIRECT LLC
Contact Information
Main Address
671 N. Glebe Road 13th Floor, Arlington, VA 22203Phone Number
(703) 247-3700Established
Delaware since 08/02/1996Firm Type
Limited Liability CompanyFiscal Year End
December# of Employees
0Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | — |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | — |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory Assets Under Management
Total Number of Accounts
90,806AUM (Assets Under Management)
$7,406,529,807Disclosures
Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | Cover Page | Report |
| 09/27/2022 | Cover Page | Report |
| 12/21/2021 | Cover Page | Report |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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