Nikolaos Argiriou
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.
Nikolaos Argiriou was a registered financial professional .
Nikolaos is a previously registered financial professional and started their career in finance in 1995. Nikolaos had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - August 10, 2015
IMPERIAL CAPITAL, LLC
March 1, 2012 - May 6, 2013
BNP PARIBAS SECURITIES CORP.
May 24, 2010 - February 10, 2012
CREDIT SUISSE SECURITIES (USA) LLC
June 30, 2009 - March 1, 2010
NATWEST MARKETS SECURITIES INC.
January 26, 2009 - June 30, 2009
BANC OF AMERICA SECURITIES LLC
May 8, 2002 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1995 - December 31, 1998
JPMSI
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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