William P. Nicoletti
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.
William Peter Nicoletti, who also goes by Bill Nicoletti, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2009 - February 16, 2023
PARKMAN WHALING SECURITIES LLC
March 17, 1998 - July 5, 2000
KEYBANC CAPITAL MARKETS INC.
July 24, 1992 - March 24, 1998
BENTLEY SECURITIES CORPORATION
February 24, 1970 - April 7, 1988
E. F. HUTTON & COMPANY 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 2/16/1970
Registered Representative ExaminationSeries 40
Date: 10/27/1975
Registered Principal ExaminationCurrent Firm
PARKMAN WHALING SECURITIES LLC
CRD#: 145342 / SEC#: , 8-67723
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL, BRUCE EMERSON III | CHIEF COMPLIANCE OFFICER | 5459992 |
Red Flags
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