Nicole D. Wachs
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.
Nicole Danielle Wachs, who also goes by Nicole Danielle Tuccillo, Nicole Danielle Tuccillo-wachs, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2001. Nicole had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2008 - December 23, 2014
ALLY INVEST SECURITIES LLC
April 2, 2003 - April 14, 2003
SLK-HULL DERIVATIVES LLC
February 22, 2001 - March 18, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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 55
Date: 10/30/2001
Limited Representative-Equity Trader ExamCurrent Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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