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Nicholas G. Spalaris

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CRD#: 431266
NS

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 George Spalaris, who also goes by Nick Spalaris, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1970. Nicholas had worked at 8 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Spalaris

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 26, 1991 - September 13, 2000

HACKETT ASSOCIATES, INC.

BD
CRD#: 2106
WYOMISSING, PA
Past

June 18, 1989 - December 31, 1989

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

January 9, 1989 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

February 8, 1983 - June 1, 1988

MANAGED INVESTMENTS, INC.

BD
CRD#: 2640
Past

April 6, 1982 - May 6, 1983

PFS INVESTMENTS INC.

BD
CRD#: 10111
Past

April 6, 1981 - April 9, 1981

FINANCIAL ESTATE PLANNING, INC.

BD
CRD#: 287
Past

February 1, 1978 - April 6, 1980

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
Past

May 4, 1970 - February 28, 1975

MAYFLOWER SECURITIES CO., INC.

BD
CRD#: 562

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 5/16/1962
Registered Representative Examination

Current Firm

HA
HACKETT ASSOCIATES, INC.
ALBIG ASSOCIATES | KEELER & DANNER FINANCIAL SERVICES | HACKETT ASSOCIATES, INC. | HACKETT ASSOCIATES

CRD#: 2106 / SEC#: , 8-14538

BD
Terminated by SEC on 10/29/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 11/03/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HACKETT, BURTIS MCHATTON JRDIRECTOR, PRESIDENT, SECRETARY, TREASURER232918

Disclosures

Regulatory Event4
Arbitration1

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

HACKETT ASSOCIATES, INC.

CRD#: 2106

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