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Nicholas J. Rego

Some features on this profile are disabled
CRD#: 2541986
NR

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 John Rego, who also goes by Nicholas J Rego, Nick Rego, 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 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas J Rego | Nick Rego

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 20, 2010 - October 25, 2024

NUMIS SECURITIES LLC

BD
CRD#: 128471
NEW YORK, NY
Past

January 20, 2010 - September 13, 2010

STOEVER, GLASS & COMPANY INC.

BD
CRD#: 7031
NEW YORK, NY
Past

October 7, 2003 - February 23, 2010

PYXIS SECURITIES, LLC

BD
CRD#: 126130
FAIR HAVEN, NJ
Past

May 2, 2003 - May 12, 2003

GLOBAL DIRECT FINANCIAL SERVICES LLC

BD
CRD#: 110538
NEW YORK, NY
Past

November 27, 2000 - May 10, 2002

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

May 22, 2000 - November 21, 2000

BLUE RIVER CAPITAL LLC

BD
CRD#: 27529
NEW YORK, NY
Past

August 15, 1997 - July 9, 1999

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

June 26, 1997 - August 26, 1997

M. R. BEAL & COMPANY

BD
CRD#: 22088
NEW YORK, NY
Past

April 24, 1995 - November 13, 1996

PROBURSA INTERNATIONAL INC.

BD
CRD#: 26137
Past

December 14, 1994 - May 4, 1995

ASIEL & CO. LLC

BD
CRD#: 1112
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/29/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/13/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/12/1994
Financial and Operations Principal Examination

Current Firm

NS
NUMIS SECURITIES LLC
NUMIS | NUMIS SECURITIES LLC | NUMIS SECURITIES INC.

CRD#: 128471 / SEC#: , 8-66139

BD
Terminated by SEC on 10/25/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/03/2024
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DEUTSCHE BANK SECURITIES INC.SHAREHOLDER2525
BUNZEL, JEFFREY HOPKINSDIRECTOR1106760
MASSARO, TIBERIOCFO AND FINANCIAL OPERATIONS PRINCIPAL1847137
MITCHINSON, ROSS JAMESDIRECTOR6871738
PALEOS, MICHAEL JOHNDIRECTOR5192702
POLLARD, STEVEN JAMESBOARD CHAIRMAN, DIRECTOR, CEO/CCO2987435

Disclosures

Regulatory Event1

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.

Company Information

NUMIS SECURITIES LLC

CRD#: 128471

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