NB
Nino L. Balduzzi
FEF DISTRIBUTORS
Sausalito, CA
Some features on this profile are disabled
CRD#: 4503671
NB
Professional summary
Nino L Balduzzi, who also goes by Nino Balduzzi, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in Sausalito, California.
Nino is registered as a RR (Registered Representative) and started their career in finance in 2003. Nino has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nino Balduzzi
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.
1) NAME OF BUSINESS: JOHN HANCOCK ASSET MANAGEMENT ("JHAM"); BUSINESS IS INVESTMENT RELATED. ADDRESS: 101 HUNTINGTON AVENUE, BOSTON MA, 02199. NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER THAT IS AN AFFILIATE OF (JHF OR JHD) UNDER COMMON CONTROL. RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE. START DATE: (PROVIDED BY JHAM). APPROXIMATE NUMBER OF HOUR/MONTH INVOLVED IN THIS BUSINESS: 10. APPROXIMATE NUMBER OF HOURS INVOLVED IN THIS BUSINESS DURING SECURITIES TRADING HOURS: 10. DUTIES: MARKETING AND OFFERING, ON A WHOLESALE BASIS, THE SEPARATE MANAGED ACCOUNT STRATEGIES OF JHAM. 2) Yuppie Puppy Pet Care, LLC. 133 Main St. Charlestown, MA 02129. Owner/Member. Accounting and Marketing duties. 2-3 hrs per week, 0 during securities trading hours. Compensated via profits. 3) Lake Local, LLC, 133 Main St, Charlestown, MA 02129, non-investment related, rental property, manager, 8/15/2015, 2 hrs wk/0 during trading hrs.
CRS (Client Relationship Summary) - BD
Click below to view Nino L Balduzzi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 26, 2024 - Present
FEF DISTRIBUTORS, LLC
BD
CRD#: 46585
Sausalito, CA
Past
September 13, 2022 - July 9, 2024
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
August 26, 2019 - July 13, 2022
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
November 8, 2018 - July 13, 2022
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
CHARLESTOWN, MA
Past
April 7, 2010 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
April 7, 2010 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
BOSTON, MA
Past
April 7, 2010 - July 13, 2022
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
April 20, 2006 - March 29, 2010
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
RIA
CRD#: 138756
BOSTON, MA
Past
August 19, 2005 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
RIA
CRD#: 107719
BOSTON, MA
Past
September 26, 2003 - March 29, 2010
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/26/2024)
RR
Alaska(7/26/2024)
RR
Arizona(7/26/2024)
RR
Arkansas(7/26/2024)
RR
California(7/26/2024)
RR
Colorado(7/26/2024)
RR
Connecticut(7/26/2024)
RR
Delaware(7/26/2024)
RR
District of Columbia(7/26/2024)
RR
Florida(7/26/2024)
RR
Georgia(7/26/2024)
RR
Hawaii(7/26/2024)
RR
Idaho(7/26/2024)
RR
Illinois(7/26/2024)
RR
Indiana(7/26/2024)
RR
Iowa(7/26/2024)
RR
Kansas(7/26/2024)
RR
Kentucky(7/26/2024)
RR
Louisiana(7/26/2024)
RR
Maine(7/26/2024)
RR
Maryland(7/26/2024)
RR
Massachusetts(7/26/2024)
RR
Michigan(7/26/2024)
RR
Minnesota(7/26/2024)
RR
Mississippi(7/26/2024)
RR
Missouri(7/26/2024)
RR
Montana(7/29/2024)
RR
Nebraska(7/26/2024)
RR
Nevada(7/26/2024)
RR
New Hampshire(7/26/2024)
RR
New Jersey(7/26/2024)
RR
New Mexico(7/26/2024)
RR
New York(7/26/2024)
RR
North Carolina(7/26/2024)
RR
North Dakota(7/26/2024)
RR
Ohio(7/26/2024)
RR
Oklahoma(7/26/2024)
RR
Oregon(7/26/2024)
RR
Pennsylvania(7/26/2024)
RR
Puerto Rico(7/26/2024)
RR
Rhode Island(7/26/2024)
RR
South Carolina(7/26/2024)
RR
South Dakota(7/26/2024)
RR
Tennessee(7/26/2024)
RR
Texas(7/26/2024)
RR
Utah(7/26/2024)
RR
Vermont(7/26/2024)
RR
Virginia(7/26/2024)
RR
Washington(7/26/2024)
RR
West Virginia(7/26/2024)
RR
Wisconsin(7/26/2024)
RR
Wyoming(7/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
