Nicholas Dean
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 Dean, who also goes by Nicholas Dean Frasco, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1999. Nicholas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 53, Series 4 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
July 25, 2017 - January 2, 2019
CAPE SECURITIES INC.
December 1, 2014 - July 17, 2017
FREEDOM INVESTORS CORP.
September 17, 2013 - November 28, 2014
CALTON & ASSOCIATES, INC.
May 31, 2012 - September 18, 2013
LAMPERT CAPITAL MARKETS INC.
January 3, 2012 - May 29, 2012
HALCYON CABOT PARTNERS, LTD.
February 19, 2010 - December 31, 2011
SOURCE CAPITAL GROUP, INC.
July 7, 2009 - January 14, 2010
MERCER CAPITAL LTD.
October 20, 2003 - July 9, 2009
E1 ASSET MANAGEMENT, INC.
January 8, 2002 - September 24, 2003
THINKEQUITY LLC
December 19, 2000 - December 31, 2001
RAYMOND JAMES & ASSOCIATES, INC.
June 21, 1999 - October 5, 2000
SANDS BROTHERS & CO., LTD.
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
Series 55
Date: 4/24/2009
Limited Representative-Equity Trader ExamCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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