Nicolas C. Bornozis
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 C Bornozis was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 1986. Nicolas had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 27 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
February 7, 2019 - February 8, 2023
GREENLEYS CAPITAL MARKETS LLP
August 2, 2016 - March 27, 2017
DALMORE GROUP LLC
September 20, 2012 - November 18, 2015
H. RIVKIN & CO., INC.
June 13, 1996 - December 31, 2011
ALEXANDER CAPITAL, L.P.
November 18, 1986 - August 9, 1996
CCF INTERNATIONAL FINANCE CORP.
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
GREENLEYS CAPITAL MARKETS LLP
CRD#: 168558 / SEC#: , 8-69319
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.
