William Nicoloff
Professional summary
William Nicoloff JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, William had worked at 12 firms, which includes BOUSTEAD SECURITIES LLC, BENTLEY SECURITIES CORPORATION, MORGAN STANLEY, CASCADIA CAPITAL LLC, LPE SECURITIES LLC, APS FINANCIAL CORPORATION, COHEN FINANCIAL EQUITIES LLC, ALLEGISONE SECURITIES INC., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, MCGLADREY CAPITAL MARKETS LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2021 - October 5, 2021
BOUSTEAD SECURITIES, LLC
August 13, 2018 - November 6, 2019
BENTLEY SECURITIES CORPORATION
June 19, 2018 - July 25, 2018
MORGAN STANLEY
May 10, 2017 - June 8, 2018
BENTLEY SECURITIES CORPORATION
July 11, 2013 - January 4, 2017
BENTLEY SECURITIES CORPORATION
January 9, 2013 - July 9, 2013
CASCADIA CAPITAL, LLC
May 5, 2010 - May 30, 2012
LPE SECURITIES, LLC
September 15, 2009 - January 2, 2013
BENTLEY SECURITIES CORPORATION
May 30, 2008 - February 23, 2009
APS FINANCIAL CORPORATION
June 23, 2005 - May 4, 2007
COHEN FINANCIAL EQUITIES LLC
October 31, 2003 - March 16, 2004
ALLEGISONE SECURITIES, INC.
July 22, 2003 - October 27, 2003
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 15, 2000 - July 23, 2001
MCGLADREY CAPITAL MARKETS, LLC
March 14, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 14, 1996 - October 31, 2000
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
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