Nicholas M. Orobello
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 Michael Orobello was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1973. Nicholas had worked at 10 firms and has passed the Series 63, SIE, Series 1 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, 2014 - December 5, 2017
NATIONAL PLANNING CORPORATION
May 21, 2014 - December 5, 2017
NATIONAL PLANNING CORPORATION
November 18, 2010 - March 14, 2014
ADVICEONE ADVISORY SERVICES, LLC
October 27, 2010 - January 31, 2014
SECURITIES SERVICE NETWORK, LLC
November 6, 1995 - November 18, 2010
LPL FINANCIAL LLC
July 20, 1995 - November 18, 2010
LPL FINANCIAL LLC
April 24, 1992 - July 19, 1995
CETERA ADVISORS LLC
April 25, 1983 - August 12, 1991
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 19, 1979 - August 24, 1983
HIMCO DISTRIBUTION SERVICES COMPANY
July 5, 1974 - February 10, 1978
INCOME FUNDS, INCORPORATED
September 4, 1973 - August 12, 1974
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 4, 1973 - August 12, 1974
SIGNATOR INVESTORS, 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 1
Date: 8/23/1973
Registered Representative ExaminationCurrent Firm
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
