Constantine G. Nicholson
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.
Constantine G. Nicholson, who also goes by Constantine Gus Nicholson, Gus Nicholson, Constantine G Nicholson, was a registered financial professional .
Constantine is a previously registered financial professional and started their career in finance in 1970. Constantine had worked at 8 firms and has passed the Series 63, SIE, PC, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2017 - November 2, 2018
KOVACK SECURITIES INC.
October 28, 2010 - June 8, 2017
CAPITAL GUARDIAN, LLC
November 30, 2005 - October 26, 2010
MOORS & CABOT, INC.
July 27, 1996 - December 19, 2005
ADVEST, INC.
February 12, 1985 - July 3, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 4, 1985 - July 3, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - February 25, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 17, 1970 - December 22, 1974
VAS-CO MONEY MANAGEMENT PLANS, INC.
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: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 7/25/1969
Registered Representative ExaminationSeries 00
Date: 7/3/1970
General Securities Principal ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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