Nicholas P. Maltese
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 Philip Maltese SR, who also goes by Nicholas Philip Maltese, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1972. Nicholas had worked at 12 firms and has passed the Series 55, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2001 - July 10, 2014
HAPOALIM SECURITIES USA, INC.
September 3, 1997 - June 27, 2001
HERZOG, HEINE, GEDULD, LLC
January 8, 1997 - May 20, 1997
PURCELL GRAHAM INCORPORATED
March 19, 1996 - December 23, 1996
HOWE, SOLOMON & HALL, INC.
February 27, 1995 - October 11, 1995
WESTCAP SECURITIES, L.P.
August 2, 1994 - December 31, 1994
GRAYSON FINANCIAL LLC
February 5, 1994 - August 2, 1994
GMS GROUP
March 5, 1991 - January 6, 1994
REICH & CO., INC.
February 8, 1988 - March 1, 1991
CIBC WORLD MARKETS CORP.
January 26, 1981 - February 10, 1988
J.P. MORGAN SECURITIES LLC
January 11, 1974 - December 7, 1980
THOMSON MCKINNON SECURITIES INC.
October 11, 1972 - May 9, 1973
KUHN LOEB & CO & KUHN LOEB & CO INTL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamSeries 000
Date: 10/5/1972
General Securities Principal ExaminationSeries 1
Date: 10/5/1972
Registered Representative ExaminationCurrent Firm
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
Red Flags
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