Phillip M. Nuciola
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.
Phillip Mauro Nuciola III, who also goes by Phil Nuciola III, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1998. Phillip had worked at 5 firms and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2004 - February 22, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
May 28, 2003 - January 15, 2004
SECURITIES SERVICE NETWORK, LLC
December 10, 2002 - May 28, 2003
SANDERS MORRIS LLC
October 7, 1999 - December 9, 2002
CGS FINANCIAL INC.
August 6, 1998 - January 13, 1999
AMERICAN FREEDOM SECURITIES, 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
Exams
Series 62
Date: 8/5/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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