Nick Monaco
Professional summary
Nick Monaco is a registered financial professional currently at EMPIRE ASSET MANAGEMENT COMPANY located in New York, New York.
Nick is registered as a RR (Registered Representative) and started their career in finance in 2002. Nick has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nick Monaco's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2024 - Present
EMPIRE ASSET MANAGEMENT COMPANY
Office #1: 29 Broadway 12th Floor, New York, NY 10006June 21, 2016 - April 11, 2024
OUTSET GLOBAL TRADING LIMITED
December 17, 2012 - June 17, 2016
SMITH CAPITAL MARKETS, LLC.
January 18, 2011 - January 11, 2013
TOURMALINE PARTNERS, LLC
January 15, 2010 - January 28, 2011
SMITH CAPITAL MARKETS, LLC.
April 3, 2008 - January 5, 2010
WILLIAMS TRADING LLC
October 23, 2002 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
(4/11/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/15/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
EMPIRE ASSET MANAGEMENT COMPANY
CRD#: 143007 / SEC#: , 8-67520
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Arbitration | 1 |
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