Nicholas A. Greenberg
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 Alexander Greenberg was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2002. Nicholas had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 28 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
August 23, 2016 - December 5, 2019
MIDWEST STRATEGY PARTNERS, LLC
March 22, 2010 - August 17, 2010
BAYVIEW CAPITAL SECURITIES, LLC
July 25, 2008 - February 2, 2010
BAYVIEW CAPITAL SECURITIES, LLC
December 5, 2002 - August 4, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 5/14/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MIDWEST STRATEGY PARTNERS, LLC
CRD#: 283631 / SEC#:
Contact information
Red Flags
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