Nicole T. Codispoti
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.
Nicole Theresa Codispoti, who also goes by Nicole Codispoti Difiore, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1999. Nicole had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 5, 2021 - November 1, 2023
GTS SECURITIES LLC
August 3, 2021 - December 13, 2021
MISCHLER FINANCIAL GROUP, INC.
April 18, 2005 - August 5, 2021
BUCKMAN ADVISORY GROUP LLC
April 18, 2005 - August 4, 2021
BUCKMAN, BUCKMAN & REID, INC.
July 1, 2003 - April 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 1, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1999 - March 7, 2000
OPPENHEIMER & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 2/9/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
Red Flags
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