Nicholas Palumbo
Professional summary
Nicholas Palumbo, who also goes by Nicholas Saverio Palumbo, Nicholas Palumbo, is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1995. Nicholas has worked at 14 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Palumbo's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2018 - Present
CLEARPOOL EXECUTION SERVICES, LLC
Office #1: 17 State Street 38th Floor, New York, NY, 10004October 27, 2017 - March 15, 2018
COWEN AND COMPANY
February 10, 2015 - March 15, 2018
COWEN EXECUTION SERVICES LLC
September 11, 2013 - June 11, 2014
GETCO EXECUTION SERVICES LLC
January 3, 2011 - November 18, 2014
VIRTU AMERICAS LLC
August 25, 2009 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
March 13, 2008 - January 3, 2011
KNIGHT DIRECT LLC
July 31, 2006 - September 4, 2008
EDGETRADE LLC
June 29, 2005 - March 29, 2006
LAVA TRADING, INC.
April 21, 2005 - July 11, 2005
CITIGROUP GLOBAL MARKETS INC.
February 6, 1998 - January 5, 2004
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
June 26, 1997 - January 7, 1998
NATIONAL INVESTOR SERVICES CORP.
May 22, 1996 - July 9, 1997
TD AMERITRADE, INC.
November 7, 1995 - December 21, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/26/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEARPOOL EXECUTION SERVICES, LLC
CRD#: 168490 / SEC#: , 8-69313
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 19 |
Red Flags
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