Nicholas A. Cardoza
Professional summary
Nicholas Anthony Cardoza, who also goes by Nicholas A Cardoza, Nicholas Cardozo, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Stamford, Connecticut.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Anthony Cardoza's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2013 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 680 Washington Blvd. 11th Floor, Stamford, CT 06901June 3, 2010 - August 27, 2013
JEFFERIES LLC
April 8, 2008 - April 12, 2010
TOUCHSTONE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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