Nicholas R. Buonocore
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 Ross Buonocore, who also goes by Nicholas Ross Bounocore, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2002. Nicholas had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2017 - November 18, 2020
WORDEN CAPITAL MANAGEMENT LLC
October 3, 2017 - December 20, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 6, 2017 - December 20, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 22, 2016 - September 28, 2016
MML INVESTORS SERVICES, LLC
March 10, 2009 - December 2, 2015
WORDEN CAPITAL MANAGEMENT LLC
September 9, 2003 - March 13, 2009
COLUMBUS ADVISORY GROUP, LTD.
September 23, 2002 - September 9, 2003
COMMERCE ONE FINANCIAL INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WORDEN CAPITAL MANAGEMENT LLC
CRD#: 148366 / SEC#: , 8-68010
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 12 |
Red Flags
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