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NL

Nicola Liantonio

Some features on this profile are disabled
CRD#: 2715474
NL

Professional summary

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

Nicola is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Nicola had worked at 6 firms, which includes WILLIAM & CO. CAPITAL MARKETS LTD., WINDHAM SECURITIES INC., GUNNALLEN FINANCIAL INC, PARKER BROMLEY LTD., WIN CAPITAL CORP., SMITH BENTON & HUGHES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Liantonio | Liantonio

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

April 3, 2001 - June 15, 2001

WILLIAM & CO. CAPITAL MARKETS LTD.

BD
CRD#: 8382
NY, NY
Past

January 17, 2001 - March 12, 2001

WINDHAM SECURITIES, INC.

BD
CRD#: 20529
NEW YORK, NY
Past

November 2, 1998 - February 25, 1999

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

November 18, 1996 - October 21, 1998

PARKER BROMLEY LTD.

BD
CRD#: 39674
GARDEN CITY, NY
Past

July 1, 1996 - April 14, 1997

WIN CAPITAL CORP.

BD
CRD#: 36172
BAYVILLE, NY
Past

May 20, 1996 - July 11, 1996

SMITH, BENTON & HUGHES, INC.

BD
CRD#: 20877
LOS ANGELES, CA

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: 6/17/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1996
General Securities Representative Examination

Current Firm

W&
WILLIAM & CO. CAPITAL MARKETS LTD.
TRICENTENNIAL CORPORATION | WILLIAM & CO. CAPITAL MARKETS LTD. | WALL STREET INVESTMENT CORPORATION

CRD#: 8382 / SEC#: , 8-25392

BD
Cancelled by SEC on 02/24/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
District of Columbia since 03/18/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MUSCARELLA, WILLIAM ANTHONYPRESIDENT1633535

Disclosures

Regulatory Event7

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

WILLIAM & CO. CAPITAL MARKETS LTD.

CRD#: 8382

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