Nicholas G. Passalacqua
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 Gerome Passalacqua, who also goes by Nicholas G Passalacqua, Nicholas Passalacqua Jr, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1996. Nicholas had worked at 9 firms and has passed the Series 63 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
September 24, 1998 - November 9, 1998
BARRON CHASE SECURITIES, INC.
June 19, 1998 - September 22, 1998
BERNARD, LEE & EDWARDS SECURITIES, INC
January 8, 1998 - March 26, 1998
MERIT CAPITAL ASSOCIATES, INC.
November 10, 1997 - February 2, 1998
THE HAMILTON-SHEA GROUP, INC.
October 8, 1997 - February 2, 1998
THE HAMILTON-SHEA GROUP, INC.
April 25, 1997 - November 5, 1997
MERIT CAPITAL ASSOCIATES, INC.
February 11, 1997 - March 5, 1997
BRAUER & ASSOCIATES, INC.
January 24, 1997 - March 14, 1997
THE HAMILTON-SHEA GROUP, INC.
November 27, 1996 - January 21, 1997
EURO-ATLANTIC SECURITIES INC.
November 22, 1996 - November 27, 1996
BILTMORE SECURITIES, INC.
August 20, 1996 - November 26, 1996
GLOBAL FINANCIAL GROUP, INC.
July 15, 1996 - September 25, 1997
INVESTORS ASSOCIATES, 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: 7/12/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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.
