Nicole V. James
Professional summary
Nicole Victoria James, who also goes by Nicole VIctoria Mazzoni, is a registered financial professional currently at MULTI-BANK SECURITIES, INC. located in Ft. Lauderdale, Florida.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2000. Nicole has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicole Victoria James's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2014 - Present
MULTI-BANK SECURITIES, INC.
Office #1: 2400 E. Commercial Blvd Ste. 1200, Ft. Lauderdale, FL 33308March 7, 2008 - January 8, 2014
INSPEREX LLC
June 1, 2001 - March 10, 2008
LASALLE FINANCIAL SERVICES, INC.
October 26, 2000 - June 6, 2001
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/20/2016)
(3/12/2014)
(3/12/2014)
(1/14/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(1/13/2015)
(3/12/2014)
(3/12/2014)
(3/12/2014)
(1/20/2022)
(3/12/2014)
Exams
FINRA
Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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
MULTI-BANK SECURITIES, INC.
CRD#: 22098Ft. Lauderdale, FL 33308TRUST BUT VERIFY
Monitor Nicole James
Get automatic monthly alerts on:
