Nicholas P. Bentivegna
Professional summary
Nicholas P Bentivegna was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Nicholas had worked at 17 firms, which includes WOODSTOCK FINANCIAL GROUP INC., EKN FINANCIAL SERVICES INC., TRIDENT PARTNERS LTD., GLOBAL ARENA CAPITAL CORP, JOHN THOMAS FINANCIAL, BROOKSTONE SECURITIES INC., AMERICAN CAPITAL PARTNERS LLC, ROCKWELL GLOBAL CAPITAL LLC, CLARK DODGE & CO. INC., JHS CAPITAL ADVISORS LLC, NATIONAL SECURITIES CORPORATION, BROOKVILLE CAPITAL PARTNERS, WESTROCK ADVISORS INC., GUNNALLEN FINANCIAL INC, NEWBRIDGE SECURITIES CORPORATION, GRANITE ASSOCIATES INC, AURA FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2012 - May 9, 2013
WOODSTOCK FINANCIAL GROUP, INC.
June 19, 2012 - August 13, 2012
EKN FINANCIAL SERVICES INC.
October 24, 2011 - December 19, 2011
TRIDENT PARTNERS LTD.
June 10, 2011 - September 27, 2011
GLOBAL ARENA CAPITAL CORP
January 15, 2010 - June 13, 2011
EKN FINANCIAL SERVICES INC.
December 18, 2009 - January 7, 2010
JOHN THOMAS FINANCIAL
May 18, 2009 - November 23, 2009
BROOKSTONE SECURITIES, INC.
December 23, 2008 - January 15, 2009
AMERICAN CAPITAL PARTNERS, LLC
November 12, 2008 - December 12, 2008
ROCKWELL GLOBAL CAPITAL LLC
September 16, 2008 - October 31, 2008
CLARK DODGE & CO., INC.
May 15, 2008 - June 2, 2008
JHS CAPITAL ADVISORS, LLC
March 12, 2008 - May 30, 2008
NATIONAL SECURITIES CORPORATION
September 10, 2007 - March 12, 2008
BROOKVILLE CAPITAL PARTNERS
March 7, 2007 - October 19, 2007
WESTROCK ADVISORS, INC.
October 31, 2006 - March 9, 2007
GUNNALLEN FINANCIAL, INC
August 10, 2006 - September 28, 2006
NEWBRIDGE SECURITIES CORPORATION
June 5, 2006 - August 15, 2006
EKN FINANCIAL SERVICES INC.
February 24, 2006 - June 16, 2006
GUNNALLEN FINANCIAL, INC
May 12, 2005 - February 27, 2006
GRANITE ASSOCIATES, INC
February 3, 2005 - April 27, 2005
AURA FINANCIAL SERVICES, INC.
May 7, 2003 - February 16, 2005
EKN FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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