Nick Palky
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.
Nick Palky, who also goes by Nick Palkhiwala, Nikhil Palkhiwala, was a registered financial advisor .
Nick is a previously registered financial advisor and started their career in finance in 1987. Nick had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2014 - July 27, 2015
INVESTORS CAPITAL CORP.
October 15, 2014 - November 7, 2014
KOVACK SECURITIES INC.
January 4, 2010 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
May 2, 2008 - December 31, 2009
INVESTORS CAPITAL CORP.
February 17, 1994 - December 31, 2009
INVESTORS CAPITAL CORP.
July 3, 1991 - February 18, 1994
CAPITOL SECURITIES & ASSOCIATES, INC.
November 1, 1989 - July 1, 1991
ADVANTAGE CAPITAL CORPORATION
April 6, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
April 6, 1987 - June 13, 1989
MML INVESTORS SERVICES, LLC
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
