Nicholas J. Ciocci
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.
Nicholas John Ciocci was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1997. Nicholas had worked at 5 firms and has passed the Series 57TO, SIE, Series 55 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
September 14, 2017 - March 3, 2022
TWO SIGMA SECURITIES, LLC
July 13, 2009 - September 13, 2017
IBKR SECURITIES SERVICES LLC
September 26, 2003 - December 16, 2003
SPECTRA DERIVATIVES GROUP LLC
September 26, 2003 - June 22, 2006
SPECTRA DERIVATIVES GROUP LLC
March 29, 1999 - November 10, 2000
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 19, 1997 - November 28, 1998
ALBERT B. COHEN PARTNERS, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/28/2009
Limited Representative-Equity Trader ExamCurrent Firm
TWO SIGMA SECURITIES, LLC
CRD#: 148960 / SEC#: , 8-68090
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
Red Flags
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