Nicholas Abbate
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 Abbate was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1995. Nicholas had worked at 3 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2016 - March 15, 2019
NEW YORK ALASKA ETF MANAGEMENT, LLC
May 14, 1997 - October 13, 2010
KNIGHT CAPITAL AMERICAS, L.P.
November 14, 1995 - April 30, 1997
TD AMERITRADE, 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 55
Date: 1/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
NEW YORK ALASKA ETF MANAGEMENT, LLC
CRD#: 173824 / SEC#: 801-80820
Contact information
Red Flags
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