Nicholas Amodio
Professional summary
Nicholas Amodio, who also goes by Nicholas Amodio III, is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1994. Nicholas has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Amodio's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2020 - Present
C. L. KING & ASSOCIATES, INC.
Office #1: Nine Elk Street, Albany, NY 12207May 31, 2002 - November 8, 2019
C. L. KING & ASSOCIATES, INC.
February 18, 1997 - May 28, 2002
GLEACHER & COMPANY SECURITIES, INC.
September 28, 1995 - January 14, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1994 - March 6, 1995
KEY INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/7/2003
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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