AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NV

Nicholas P. Vulpis

Some features on this profile are disabled
CRD#: 2605548
NV

Professional summary

Nicholas Peter Vulpis JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nicholas is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Nicholas had worked at 12 firms, which includes OPUS TRADING FUND LLC, MADISON PROPRIETARY TRADING GROUP LLC, FIS BROKERAGE & SECURITIES SERVICES LLC, G-2 TRADINGLLC, PALI CAPITAL INC., PALI CAPITAL LLC, TWEEDY BROWNE COMPANY LLC, DJS SECURITIES LIMITED, CARLIN EQUITIES LLC, MURPHEY MARSEILLES SMITH & NAMMACK INC., LADENBURG CAPITAL MANAGEMENT INC., VISTA SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Vulpis Jr

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

July 6, 2007 - January 8, 2008

OPUS TRADING FUND LLC

BD
CRD#: 125204
JERICHO, NY
Past

September 29, 2006 - July 9, 2007

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

July 26, 2006 - October 3, 2006

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
NEW YORK, NY
Past

May 9, 2006 - August 1, 2006

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

August 23, 2004 - January 3, 2006

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

April 30, 2002 - August 16, 2002

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

September 25, 2001 - April 30, 2002

PALI CAPITAL, LLC

BD
CRD#: 40173
NEW YORK, NY
Past

August 5, 1998 - July 7, 1999

TWEEDY, BROWNE COMPANY LLC

BD
CRD#: 6857
STAMFORD, CT
Past

October 2, 1997 - December 5, 1997

DJS SECURITIES LIMITED

BD
CRD#: 13353
NEW YORK, NY
Past

June 26, 1997 - January 1, 1998

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

February 20, 1996 - May 28, 1997

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.

BD
CRD#: 18032
NEW YORK, NY
Past

September 12, 1995 - October 10, 1995

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

August 21, 1995 - September 14, 1995

VISTA SECURITIES INC.

BD
CRD#: 36706
GARDEN CITY, 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: 11/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 6/21/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/18/1995
General Securities Representative Examination

Current Firm

OT
OPUS TRADING FUND LLC
OPUS TRADING FUND LLC | SCHONFELD TRADING LLC

CRD#: 125204 / SEC#: , 8-65779

BD
Terminated by SEC on 03/08/2008
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/10/2002
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OZCAR MULTI-STRATEGIES LLCOWNER
AMITY MANAGEMENT COMPANY II LLCMANAGER
AMITY MANAGEMENT COMPANY LLCMEMBER
AVANTARIO, JOSEPH RALPHCFO2253805
GREENFIELD, NICK PAULAUTOMATED TRADING PRINCIPAL4754575
WINN, ROBERT JOSEPHCEO, TRADING PRINCIPAL, GP1012115

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

OPUS TRADING FUND LLC

CRD#: 125204

TRUST BUT VERIFY

Monitor Nicholas Vulpis

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics