Stephen M. Nick
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.
Stephen Michael Nick, who also goes by Stephen Nick, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 21, Series 25, Series 24 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2014 - April 4, 2014
CEROS FINANCIAL SERVICES, INC.
September 16, 2013 - January 29, 2014
INVESTMENT PLANNERS, INC.
August 23, 2013 - September 5, 2013
EQUITABLE ADVISORS, LLC
September 22, 2008 - September 30, 2011
BARCLAYS CAPITAL INC.
December 17, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
March 1, 2002 - January 8, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
October 1, 2000 - March 1, 2002
LYDEN, DOLAN, NICK & CO., 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: 4/5/2009
Limited Representative-Equity Trader ExamSeries 21
Date: 7/20/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 4/14/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 7/27/2005
Compliance Official Specialist ExamCurrent Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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