Nicholas C. Anari
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 Carmine Anari was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1973. Nicholas had worked at 7 firms and has passed the F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 1997 - August 29, 1997
HARMONIC RESEARCH, INC.
December 21, 1983 - December 13, 1984
SUMMIT CAPITAL GROUP,LTD.
May 27, 1983 - October 20, 1999
BLUESTONE CAPITAL CORP.
January 31, 1982 - February 17, 1982
WARD, BRITTANY & CO., INC.
April 13, 1981 - June 11, 1984
SWARTWOOD, HESSE INC.
June 7, 1977 - May 10, 1980
FAHERTY & FAHERTY INC.
April 11, 1973 - July 2, 1977
HARDY & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 9/29/1977
Financial Principal ExaminationSeries 40
Date: 8/11/1977
Registered Principal ExaminationCurrent Firm
HARMONIC RESEARCH, INC.
CRD#: 37704 / SEC#: , 8-47931
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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