Nicholas V. Leone
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 Vincent Leone, who also goes by Nicholas Leone, Nick Leone, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1993. Nicholas had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 30 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
February 6, 2012 - December 29, 2012
GLOBAL FUND GROUP, LLC
February 11, 2011 - December 31, 2011
GLOBAL FUND GROUP, LLC
June 30, 2010 - December 31, 2010
GLOBAL FUND GROUP, LLC
June 9, 2009 - December 31, 2009
GLOBAL FUND GROUP, LLC
April 18, 2007 - December 31, 2008
GLOBAL FUND GROUP, LLC
May 10, 2005 - February 12, 2007
LPL FINANCIAL LLC
May 10, 2005 - February 12, 2007
LPL FINANCIAL LLC
May 26, 2004 - May 10, 2005
OSAIC WEALTH, INC.
December 10, 2003 - May 28, 2004
SOURCE CAPITAL MANAGEMENT
December 1, 2001 - May 28, 2004
SOURCE CAPITAL GROUP, INC.
April 11, 1997 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
December 21, 1994 - February 19, 1997
ALEX. BROWN & SONS INCORPORATED
February 19, 1993 - November 3, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL FUND GROUP, LLC
CRD#: 143159 / SEC#:
Contact information
Red Flags
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