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Nicholas Gerald Dicicco

D & D SECURITIES
PHILADELPHIA, PA
·CRD# 2321852·18 years experience

Professional Summary

Nicholas Gerald Dicicco is a registered financial advisor currently at D & D SECURITIES, INC. located in Philadelphia, Pennsylvania. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 1 firm and has passed the Series 57TO and SIE exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

D & D SECURITIES, INC.·CRD# 31470
BD
2929 Walnut Street 8th Floor, Philadelphia, PA 19104
April 16, 2008 - Present

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Current Firm

D&
D & D SECURITIES, INC.

D & D SECURITIES, INC. | D AND D SECURITIES

CRD#: 31470 / SEC#: 8-44989
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

2929 Walnut Street 8th Floor, Philadelphia, PA 19104

Mailing Address

703 North Jerome Avenue, Margate City, NJ 08402

Phone Number

(609) 226-7672

Established

Pennsylvania since 02/19/1991

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DICICCO, NICHOLAS GERALDPRESIDENT2321852
ENGLISH, CHRISTOPHER JOHNON FLOOR SUPERVISORY PRINCIPAL5138660
SCHEPPS, MARK HVICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER2042034

Disclosures

Regulatory Event

16

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam
BOX Exchange LLC
SRO Registrations
MIAX Sapphire
SRO Registrations
Nasdaq PHLX LLC
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Nicholas Gerald Dicicco's CRS (Customer Relationship Summary).

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