Nicholas A. Cupps
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 Alonzo Cupps, who also goes by Nicholas A. Cupps, Nick Cupps, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2002. Nicholas had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2015 - September 9, 2022
CUPPS WEALTH MANAGEMENT
April 2, 2015 - April 30, 2015
PARK AVENUE SECURITIES LLC
February 25, 2015 - April 30, 2015
PARK AVENUE SECURITIES LLC
January 23, 2009 - November 24, 2014
SIMPLY MONEY ADVISORS
January 20, 2009 - December 11, 2012
OSAIC WEALTH, INC.
September 26, 2006 - November 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 2006 - November 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2005 - May 22, 2006
LPL FINANCIAL LLC
June 27, 2005 - May 22, 2006
LPL FINANCIAL LLC
September 16, 2002 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
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
Current Firm
CUPPS WEALTH MANAGEMENT
CRD#: 226675 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 58 |
| AUM (Assets Under Management) | $ 17,019,674 |
Red Flags
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