Nicholas J. Quatrochi
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 Joseph Quatrochi, who also goes by Nick Quatrochi, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1994. Nicholas had worked at 2 firms and has passed the SIE, Series 50, Series 7, Series 27 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
January 26, 2012 - November 15, 2019
GEORGE K. BAUM CAPITAL ADVISORS, INC.
May 31, 1994 - December 31, 2019
GEORGE K. BAUM & COMPANY
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
GEORGE K. BAUM CAPITAL ADVISORS, INC.
CRD#: 158813 / SEC#: , 8-68927
Contact information
Documents
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.
