Nicholas J. Polito
Professional summary
Nicholas John Polito JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Nicholas had worked at 6 firms, which includes INVEST FINANCIAL CORPORATION, PNC WEALTH MANAGEMENT LLC, J.J.B. HILLIARD W.L. LYONS LLC, PNC BROKERAGE CORP, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2010 - November 29, 2011
INVEST FINANCIAL CORPORATION
November 26, 2010 - November 29, 2011
INVEST FINANCIAL CORPORATION
October 18, 2005 - August 30, 2010
PNC WEALTH MANAGEMENT LLC
October 18, 2005 - August 30, 2010
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - October 7, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - October 7, 2005
PNC WEALTH MANAGEMENT LLC
June 4, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
May 10, 1994 - June 1, 2002
PNC BROKERAGE CORP
April 5, 1993 - February 18, 1994
METROPOLITAN LIFE INSURANCE COMPANY
April 5, 1993 - February 18, 1994
MSI FINANCIAL SERVICES, 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
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
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