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JN

Joseph A. Nugent

ARKADIOS CAPITAL
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 4019776
JN

Professional summary

Joseph Allen Nugent is a registered financial professional currently at ARKADIOS CAPITAL located in Atlanta, Georgia.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Allen Nugent's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 1, 2019 - Present

ARKADIOS CAPITAL

Office #1: 2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
BD
CRD#: 282710
Atlanta, GA
Past

July 1, 2013 - August 9, 2019

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
SUWANEE, GA
Past

January 22, 2013 - June 13, 2013

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
NAPLES, FL
Past

June 1, 2010 - October 18, 2012

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

April 20, 2010 - May 28, 2010

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

April 6, 2010 - May 28, 2010

WELTON STREET INVESTMENTS LLC

BD
CRD#: 132111
ENGLEWOOD, CO
Past

March 4, 2005 - February 4, 2010

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

June 8, 2000 - February 11, 2005

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

January 24, 2000 - May 11, 2000

DIRECTED SERVICES LLC

BD
CRD#: 21675
WEST CHESTER, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/1/2019)
RR
Arizona
(8/1/2019)
RR
Arkansas
(5/11/2022)
RR
California
(8/1/2019)
RR
Colorado
(8/1/2019)
RR
Connecticut
(5/28/2021)
RR
Delaware
(8/1/2019)
RR
District of Columbia
(3/16/2021)
RR
Florida
(8/1/2019)
RR
Georgia
(8/1/2019)
RR
Illinois
(8/1/2019)
RR
Indiana
(8/1/2019)
RR
Louisiana
(8/1/2019)
RR
Maine
(8/1/2019)
RR
Maryland
(10/23/2020)
RR
Massachusetts
(8/1/2019)
RR
New Jersey
(10/4/2022)
RR
New York
(8/1/2019)
RR
North Carolina
(8/1/2019)
RR
Ohio
(8/1/2019)
RR
Pennsylvania
(8/1/2019)
RR
South Carolina
(8/13/2020)
RR
Tennessee
(8/1/2019)
RR
Texas
(8/1/2019)
RR
Utah
(8/1/2019)
RR
Virginia
(8/1/2019)
RR
Washington
(8/6/2024)
RR
West Virginia
(8/1/2019)
RR
Wisconsin
(4/16/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/21/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/3/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

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.

Company Information

ARKADIOS CAPITAL

CRD#: 282710Atlanta, GA 30305

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