Nicolas E. Arango
Professional summary
Nicolas Esteban Arango was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicolas is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Nicolas had worked at 15 firms, which includes JOSEPH STONE CAPITAL L.L.C., ROCKWELL GLOBAL CAPITAL LLC, BROOKSTONE SECURITIES INC., GLOBAL ARENA CAPITAL CORP, CLARK DODGE & CO. INC., JHS CAPITAL ADVISORS LLC, GUNNALLEN FINANCIAL INC, GIT SECURITIES CORPORATION, CONTINENTAL BROKER-DEALER CORP., FLETCHER AND FARADAY INC., THE MINNEAPOLIS COMPANY INC., FOSTER JEFFRIES SECURITIES LLC, FAIRCHILD FINANCIAL GROUP INC., LADENBURG CAPITAL MANAGEMENT INC., ALEX MOORE & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2016 - April 11, 2017
JOSEPH STONE CAPITAL L.L.C.
April 11, 2012 - October 24, 2014
ROCKWELL GLOBAL CAPITAL LLC
July 14, 2010 - April 10, 2012
BROOKSTONE SECURITIES, INC.
April 22, 2009 - July 6, 2010
GLOBAL ARENA CAPITAL CORP
March 7, 2008 - June 1, 2009
CLARK DODGE & CO., INC.
November 5, 2007 - February 20, 2008
JHS CAPITAL ADVISORS, LLC
January 31, 2006 - September 21, 2007
JHS CAPITAL ADVISORS, LLC
March 18, 2003 - December 20, 2005
GUNNALLEN FINANCIAL, INC
July 20, 2001 - March 12, 2003
GIT SECURITIES CORPORATION
July 20, 2000 - August 14, 2001
CONTINENTAL BROKER-DEALER CORP.
May 10, 1999 - June 14, 2000
FLETCHER AND FARADAY, INC.
September 25, 1998 - October 29, 1998
THE MINNEAPOLIS COMPANY, INC.
January 9, 1998 - July 15, 1998
THE MINNEAPOLIS COMPANY, INC.
January 7, 1998 - January 15, 1998
FOSTER JEFFRIES SECURITIES, LLC
January 1, 1998 - January 23, 1998
FAIRCHILD FINANCIAL GROUP, INC.
September 4, 1997 - December 9, 1997
LADENBURG CAPITAL MANAGEMENT INC.
July 7, 1997 - September 17, 1997
ALEX MOORE & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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