Nicholas C. Munson
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 C Munson, who also goes by Nicholas Christopher Munson, Nick Munson, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1998. Nicholas had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2015 - April 25, 2018
GE CAPITAL MARKETS, INC.
August 22, 2013 - January 7, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1998 - May 20, 2013
GOLDMAN SACHS & CO. LLC
January 16, 1998 - November 9, 1999
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
GE CAPITAL MARKETS, INC.
CRD#: 13349 / SEC#: , 8-29149
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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