Nicholas Z. Laba
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 Zenon Laba was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2003. Nicholas had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2005 - September 25, 2018
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
September 26, 2003 - January 10, 2005
TD OPTIONS LLC
State Registrations and Notice Filings
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Exams
Current Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
