Nicholas J. Mekosh
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 Joseph Mekosh was a registered financial advisor .
Nicholas is a previously registered financial advisor and started their career in finance in 1969. Nicholas had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2007 - November 28, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 1999 - July 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1998 - July 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1991 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 3, 1973 - January 1, 1991
BUTCHER & SINGER INC.
November 22, 1971 - August 3, 1973
BUTCHER & SHERRERD
October 6, 1969 - December 19, 1971
W. E. HUTTON & CO.
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
PC
Date: 12/1/1976
AMEX Put and Call ExamSeries 1
Date: 10/3/1969
Registered Representative ExaminationSeries 40
Date: 1/31/1977
Registered Principal ExaminationSeries 12
Date: 10/14/1974
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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