Nicholas P. Lodolce
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 Peter Lodolce, who also goes by Nicholas Peter Ladolce, Nicholas P Lodolce, Nicholas Lodolce, Nicholas Peter Lodole, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1995. Nicholas had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2004 - May 13, 2016
NEWPORT GROUP SECURITIES, INC.
December 11, 2001 - November 26, 2003
CITIGROUP GLOBAL MARKETS INC.
August 25, 2000 - July 27, 2001
CITICORP INVESTMENT SERVICES
November 29, 1999 - September 12, 2000
BNY MELLON SECURITIES LLC
September 19, 1996 - March 5, 1998
BNY MELLON SECURITIES CORPORATION
January 17, 1996 - May 10, 1996
JOSEPHTHAL & CO., INC.
February 13, 1995 - May 31, 1995
H G I
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
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
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.
