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ND

Nicholas G. Dicicco

D & D SECURITIES
Philadelphia, PA 19104
Some features on this profile are disabled
CRD#: 2321852
ND

Professional summary

Nicholas Gerald Dicicco is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 16, 2008 - Present

D & D SECURITIES, INC.

Office #1: 2929 Walnut Street 8th Floor, Philadelphia, PA 19104
BD
CRD#: 31470
Philadelphia, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Nasdaq PHLX LLC

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)
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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
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DICICCO, NICHOLAS GERALDPRESIDENT2321852
BUTLER, BRUCE JOSEPHVICE PRESIDENT, ON-FLOOR SUPERVISORY PRINCIPAL1568629
SCHEPPS, MARK HVICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER2042034

Disclosures

Regulatory Event16

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

D & D SECURITIES, INC.

CRD#: 31470Philadelphia, PA 19104

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