Nicholas C. Dito
Professional summary
Nicholas C Dito 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 2006. Prior to being barred, Nicholas had worked at 7 firms, which includes LEGEND SECURITIES INC., WINDSOR STREET CAPITAL LP, VFINANCE INVESTMENTS INC, EMPIRE ASSET MANAGEMENT COMPANY, JOHN THOMAS FINANCIAL, MERCER CAPITAL LTD., NATIONAL SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2010 - February 8, 2011
LEGEND SECURITIES, INC.
October 4, 2010 - November 17, 2010
WINDSOR STREET CAPITAL, LP
July 7, 2010 - September 23, 2010
VFINANCE INVESTMENTS, INC
March 11, 2010 - June 17, 2010
EMPIRE ASSET MANAGEMENT COMPANY
March 14, 2008 - March 22, 2010
JOHN THOMAS FINANCIAL
May 30, 2007 - April 9, 2008
MERCER CAPITAL LTD.
December 14, 2006 - May 31, 2007
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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