Nicholas J. Petitti
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 Joseph Petitti, who also goes by Nick Petitti, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2000. Nicholas had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2006 - November 6, 2015
BTIG, LLC
February 28, 2005 - October 7, 2005
G1 EXECUTION SERVICES, LLC
November 8, 2004 - March 8, 2005
E*TRADE SECURITIES LLC
November 8, 2004 - October 3, 2005
E*TRADE CLEARING LLC
October 2, 2003 - November 11, 2004
UBS CAPITAL MARKETS L.P.
October 17, 2002 - March 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2000 - October 17, 2002
HERZOG, HEINE, GEDULD, LLC
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: 12/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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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