Nicholas M. Argol
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 Michael Argol was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1994. Nicholas had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
December 16, 2010 - March 16, 2012
PATRICK CAPITAL MARKETS, LLC
April 11, 2008 - January 14, 2009
WADDELL & REED
April 12, 2005 - June 2, 2006
MORGAN STANLEY DW INC.
April 12, 2005 - June 2, 2006
MORGAN STANLEY DW INC.
September 27, 2002 - January 11, 2005
DWS DISTRIBUTORS, INC.
October 15, 2001 - August 27, 2002
WATERSTONE FINANCIAL GROUP, INC.
November 8, 2000 - August 27, 2002
STERLING PORTFOLIO ALLOCATION SERVICE INC
January 6, 1998 - August 27, 2002
WATERSTONE FINANCIAL GROUP, INC.
May 3, 1995 - December 31, 1997
POLARIS FINANCIAL SERVICES, INC.
January 1, 1994 - May 12, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 1, 1994 - May 12, 1995
EQUITABLE ADVISORS, LLC
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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
