Nicholas C. Demaria
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 Charles Demaria, who also goes by Nicholas C Demaria, Nicky Demaria, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1992. Nicholas had worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2016 - March 7, 2023
ALTERNATIVE EXECUTION GROUP
May 4, 2009 - April 14, 2016
STOCKCROSS FINANCIAL SERVICES, INC.
January 13, 2000 - April 30, 2009
HILL THOMPSON MAGID & CO., INC.
September 1, 1999 - January 3, 2000
PARKER FINANCIAL CORP.
February 22, 1999 - August 25, 1999
ARJENT LTD.
March 6, 1997 - April 28, 1998
KNIGHT CAPITAL AMERICAS, L.P.
June 7, 1995 - January 13, 1997
GFI SECURITIES LLC
August 27, 1992 - August 10, 1995
MORGAN STANLEY DW INC.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
ALTERNATIVE EXECUTION GROUP
CRD#: 167830 / SEC#: , 8-69279
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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