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NC

Nicholas T. Cecere

Some features on this profile are disabled
CRD#: 1624862
NC

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 Thomas Cecere, who also goes by Nichols Thomas Cecere, Nick Cecere, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1987. Nicholas had worked at 3 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nichols Thomas Cecere | Nick Cecere

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 8, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

June 8, 1989 - February 2, 2012

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SOUTH WINDSOR, CT
Past

May 12, 1987 - June 20, 1989

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/2/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 5/11/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TP
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
PRIVATE ASSET MANAGEMENT GROUP ("PAMG") | THE PRUDENTIAL INVESTMENT CORPORATION ("PIC") | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | STRUCTURED FINANCE GROUP ("SFG") | QUANTITATIVE MANAGEMENT ("QM") | PRUDENTIAL RETIREMENT | PRUDENTIAL REAL ESTATE SECURITIES INVESTORS ("PRESI") | PRUDENTIAL REAL ESTATE INVESTORS ("PREI") | PRUDENTIAL INVESTMENTS ASSET MANAGEMENT GROUP ("PIAMG") | PRUDENTIAL INVESTMENTS ("PI") | PRUDENTIAL INVESTMENT MANAGEMENT, INC.("PIM") | PRUDENTIAL GLOBAL ASSET MANAGEMENT ("PGAM") | PRUDENTIAL FIXED INCOME GROUP ("PRUDENTIAL FIXED INCOME") | PRUDENTIAL FINANCIAL, INC. ("PFI") | PRUDENTIAL CAPITAL GROUP ("PCG")

CRD#: 680 / SEC#: 801-12484, 8-13881

BD
Terminated by SEC on 07/05/1996
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 04/03/1873
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (3/30/2016)

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.

Company Information

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

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