NP
Nicholas Pontecorvo
BTIG
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 4804451
NP
Professional summary
Nicholas Pontecorvo is a registered financial professional currently at BTIG, LLC located in Red Bank, New Jersey.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Pontecorvo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 23, 2009 - Present
BTIG, LLC
Office #1: 34 Broad Street 2nd Floor, Red Bank, NJ 07701BD
CRD#: 122225
Red Bank, NJ
Past
December 19, 2007 - October 22, 2008
RAMIUS SECURITIES LLC
BD
CRD#: 41076
NEW YORK, NY
Past
April 23, 2007 - December 7, 2007
MAPLE SECURITIES U.S.A. INC.
BD
CRD#: 33947
JERSEY CITY, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/20/2018)
RR
Alaska(3/20/2018)
RR
Arizona(3/20/2018)
RR
Arkansas(3/20/2018)
RR
California(2/16/2011)
RR
Colorado(3/20/2018)
RR
Connecticut(3/20/2018)
RR
Delaware(3/20/2018)
RR
District of Columbia(3/20/2018)
RR
Florida(3/20/2018)
RR
Georgia(3/20/2018)
RR
Hawaii(3/20/2018)
RR
Idaho(3/20/2018)
RR
Illinois(3/20/2018)
RR
Indiana(3/20/2018)
RR
Iowa(3/20/2018)
RR
Kansas(3/20/2018)
RR
Kentucky(3/20/2018)
RR
Louisiana(3/20/2018)
RR
Maine(3/20/2018)
RR
Maryland(3/20/2018)
RR
Massachusetts(3/20/2018)
RR
Michigan(3/20/2018)
RR
Minnesota(3/20/2018)
RR
Mississippi(3/20/2018)
RR
Missouri(3/20/2018)
RR
Montana(3/20/2018)
RR
Nebraska(3/20/2018)
RR
Nevada(3/20/2018)
RR
New Hampshire(3/20/2018)
RR
New Jersey(3/20/2018)
RR
New Mexico(3/20/2018)
RR
New York(2/16/2011)
RR
North Carolina(3/20/2018)
RR
North Dakota(3/20/2018)
RR
Ohio(3/20/2018)
RR
Oklahoma(3/20/2018)
RR
Oregon(3/20/2018)
RR
Pennsylvania(3/20/2018)
RR
Rhode Island(3/20/2018)
RR
South Carolina(3/20/2018)
RR
South Dakota(3/20/2018)
RR
Tennessee(3/20/2018)
RR
Texas(3/20/2018)
RR
Utah(3/20/2018)
RR
Vermont(3/20/2018)
RR
Virginia(3/20/2018)
RR
Washington(3/20/2018)
RR
West Virginia(3/20/2018)
RR
Wisconsin(3/20/2018)
RR
Wyoming(3/20/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
CRD#: 122225 / SEC#: , 8-65473
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
