Nick J. Lambropoulos
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 John Lambropoulos was a registered financial professional .
Nick is a previously registered financial professional and started their career in finance in 1990. Nick had worked at 16 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2017 - December 14, 2020
CAPITAL PORTFOLIO MANAGEMENT, INC.
January 4, 2017 - March 24, 2017
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 12, 2015 - May 12, 2016
AMERICAFIRST SECURITIES, INC.
May 30, 2014 - October 20, 2014
CAPITAL PORTFOLIO MANAGEMENT, INC.
August 15, 2011 - July 2, 2012
ALPS DISTRIBUTORS, INC.
March 29, 2011 - August 2, 2011
PATRICK CAPITAL MARKETS, LLC
January 23, 2008 - January 4, 2011
TOUCHSTONE SECURITIES, INC.
May 30, 2007 - February 20, 2008
CAPITAL PORTFOLIO MANAGEMENT, INC.
December 10, 2003 - May 25, 2005
NATCITY INVESTMENTS, INC.
August 25, 2003 - November 10, 2003
FORESIDE FUNDS DISTRIBUTORS LLC
March 26, 2003 - September 24, 2003
KESTRA INVESTMENT SERVICES, LLC
May 11, 2001 - June 20, 2002
GUARDIAN INVESTOR SERVICES LLC
March 13, 2001 - May 14, 2001
FIRST DOMINION CAPITAL CORP.
February 20, 1998 - April 18, 2000
MONUMENT DISTRIBUTORS, INC.
January 4, 1994 - November 20, 1995
PRUCO SECURITIES, LLC.
May 27, 1993 - December 18, 1993
HORNOR, TOWNSEND & KENT, LLC
September 13, 1990 - January 22, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 13, 1990 - November 20, 1995
PRUCO SECURITIES, LLC.
July 27, 1990 - August 31, 1990
NORTHWESTERN MUTUAL INVESTMENT 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
CAPITAL PORTFOLIO MANAGEMENT, INC.
CRD#: 29302 / SEC#: , 8-44225
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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