Nicholas John Rego
Professional Summary
Nicholas John Rego, who also goes by Nicholas J Rego, Nick Rego, was a registered financial advisor. Nicholas was a previously registered financial professional and started their career in finance 1994 - 2024. Nicholas had worked at 9 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas J Rego, Nick Rego
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
NUMIS | NUMIS SECURITIES LLC | NUMIS SECURITIES INC.
Contact Information
Established
Delaware since 09/03/2024Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2004Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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