Nicholas D. White
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 Dencil White, who also goes by Nick White, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1993. Nicholas had worked at 4 firms and has passed the Series 63, 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
August 26, 2010 - March 13, 2013
FROST BROKERAGE SERVICES, INC.
May 20, 2010 - July 20, 2010
WADDELL & REED
July 5, 2006 - October 8, 2009
FROST BROKERAGE SERVICES, INC.
July 5, 1994 - December 6, 2005
FUND MANAGEMENT COMPANY
April 30, 1993 - December 2, 2005
INVESCO DISTRIBUTORS, 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
Current Firm
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
