Nicole Nittoli
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 Nittoli, who also goes by Nicole Nittoli, Nicole Sammarco, Nikki Sammarco, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2004. Nicole had worked at 3 firms and has passed the SIE 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
June 18, 2015 - December 31, 2020
VAUGHAN AND COMPANY SECURITIES, INC.
December 21, 2005 - March 4, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 2, 2004 - September 22, 2005
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
VAUGHAN AND COMPANY SECURITIES, INC.
CRD#: 18826 / SEC#: 801-118757, 8-36916
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
VAUGHAN AND COMPANY SECURITIES, INC.
CRD#: 18826 / SEC#: 801-118757, 8-36916
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 458 |
| AUM (Assets Under Management) | $ 280,000,000 |
Disclosures
| Regulatory Event | 4 |
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.
