Nicholas M. Destefano
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 M Destefano, who also goes by Nicholas Mario Destefano, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1998. Nicholas had worked at 6 firms and has passed the Series 63, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2008 - July 21, 2014
W.A. CAPITAL MARKETS
April 28, 2006 - March 31, 2009
HALCYON CABOT PARTNERS, LTD.
March 11, 2005 - April 27, 2006
BROWN BROTHERS HARRIMAN & CO.
April 28, 2003 - April 26, 2006
INTEGRA SECURITIES CORP.
December 27, 2002 - May 7, 2003
BRUNO, RICHARD ALFONSO
September 8, 1998 - January 8, 2003
HAPOALIM SECURITIES USA, 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 25
Date: 7/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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