Nicholas Bachar
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 Bachar, who also goes by Nick Bachar, Bachar Nicholas, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1989. Nicholas had worked at 9 firms and has passed the Series 63, Series 7 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
February 7, 2013 - December 9, 2013
INVEST FINANCIAL CORPORATION
March 8, 2011 - February 7, 2013
AFFINITY INVESTMENT SERVICES, LLC
June 15, 2009 - March 7, 2011
AFFINITY INVESTMENT SERVICES, LLC
July 31, 2007 - June 10, 2009
OSAIC WEALTH, INC.
July 5, 2004 - January 13, 2006
VOYA FINANCIAL ADVISORS, INC.
September 18, 1996 - April 25, 2003
CHASE INVESTMENT SERVICES CORP.
August 16, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
August 27, 1991 - July 14, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
October 26, 1990 - August 30, 1991
REICH & CO., INC.
April 19, 1990 - December 20, 1990
LCP CAPITAL CORP.
October 25, 1989 - March 1, 1990
INVEST FINANCIAL CORPORATION
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
