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Paul D. Nicolini

Some features on this profile are disabled
CRD#: 1849073
PN

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.

Paul David Nicolini, who also goes by Paul Nicolini, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 11 firms and has passed the Series 63, SIE, Series 82, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Nicolini

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

September 10, 2019 - July 17, 2020

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
IRVINE, CA
Past

June 17, 2019 - September 11, 2019

CRAFT CAPITAL MANAGEMENT LLC

BD
CRD#: 171350
GARDEN CITY, NY
Past

January 8, 2019 - June 19, 2019

GOLDEN EAGLE SECURITIES, INC.

BD
CRD#: 19586
NAPLES, FL
Past

April 24, 2017 - February 22, 2018

LANIER SECURITIES LLC

BD
CRD#: 285277
Lake Worth, FL
Past

September 6, 2011 - February 24, 2012

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
LONGWOOD, FL
Past

July 1, 2010 - August 31, 2011

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
INDIALANTIC, FL
Past

November 25, 2008 - July 7, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
INDIALANTIC, FL
Past

October 13, 2008 - October 17, 2008

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

June 17, 1992 - December 23, 2008

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
LONGWOOD, FL
Past

February 20, 1990 - May 28, 1992

MUTUAL FUND MANAGEMENT CO., INC.

BD
CRD#: 25283
Past

November 2, 1989 - February 17, 1990

ANCHOR MANAGEMENT GROUP, INC.

BD
CRD#: 25022
MELBOURNE, FL
Past

July 19, 1988 - October 21, 1989

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

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: 3/16/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/22/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 1/13/2017
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/8/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/27/1990
Investment Company Products/Variable Contracts Principal Examination

Current Firm

BS
BOUSTEAD SECURITIES, LLC
BOUSTEAD SECURITIES, LLC | MONARCH BAY SECURITIES, LLC | MONARCH BAY ASSOCIATES, LLC

CRD#: 141391 / SEC#: , 8-67384

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6 Venture Suite 395, Irvine, CA 92618
Mailing Address
6 Venture Suite 395, Irvine, CA 92618
Phone number
(949) 295-1580
Established
California since 04/19/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOUSTEAD & COMPANY LIMITEDMEMBER
BULL, ROBERT LEE IVFINOP & PRINCIPAL1521134
MCCLORY, DANIEL JOSEPHMEMBER1390780
SMITH, LINCOLN JOSEPH JRPRESIDENT/ CEO / CCO2501422

Disclosures

Regulatory Event1

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

BOUSTEAD SECURITIES, LLC

CRD#: 141391

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