Nicholas A. Mosich
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 Anthony Mosich was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1997. Nicholas had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2006 - September 30, 2014
STANDARD INVESTMENT CHARTERED INCORPORATED
September 20, 2005 - March 26, 2008
STANDARD INVESTMENT CHARTERED INCORPORATED
April 30, 2001 - September 9, 2005
SMART INVESTMENTS ADVISORY INCORPORATED
February 2, 2001 - December 10, 2003
INDEPENDENT FINANCIAL GROUP, LLC
December 14, 2000 - September 9, 2005
THE SEIDLER COMPANIES INCORPORATED
August 28, 1997 - January 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
STANDARD INVESTMENT CHARTERED INCORPORATED
CRD#: 23505 / SEC#: , 8-40468
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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