Nicola J. Sangermano
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.
Nicola Jeno Sangermano, who also goes by Nick J Sangermano, Nick Sangermano, Nicola Sangermano, was a registered financial professional .
Nicola is a previously registered financial professional and started their career in finance in 2010. Nicola had worked at 3 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE, Series 82 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2018 - May 29, 2020
RUBICON CAPITAL ADVISORS
November 8, 2016 - September 19, 2018
CRC-IB
November 1, 2010 - December 8, 2015
PACIFIC CENTURY SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 3/28/2024
Limited Representative-Private Securities OfferingsCurrent Firm
RUBICON CAPITAL ADVISORS
CRD#: 283566 / SEC#: , 8-69763
Contact information
FINRA licenses (12 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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