Nicholas C. Nascone
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 Nascone, who also goes by Nicholas C Nascone, Nick Nascone, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1992. Nicholas had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2005 - February 16, 2012
THE O.N. EQUITY SALES COMPANY
January 1, 2004 - December 16, 2004
CETERA ADVISORS LLC
February 25, 1994 - January 1, 2004
VESTAX SECURITIES CORPORATION
April 2, 1992 - March 10, 1994
THE O.N. EQUITY SALES COMPANY
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
