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JP

Jenna T. Pollicino

NCG SECURITIES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 4929008
JP

Professional summary

Jenna Therese Pollicino, who also goes by Jenna Therese Mullen, is a registered financial professional currently at NCG SECURITIES LLC located in Red Bank, New Jersey.

Jenna is registered as a RR (Registered Representative) and started their career in finance in 2006. Jenna has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jenna Therese Mullen

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jenna Therese Pollicino'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®
None

Experience

Current

August 20, 2013 - Present

NCG SECURITIES LLC

Office #1: 12 Broad Street 5th Floor, Red Bank, NJ, 07701
BD
CRD#: 160481
Red Bank, NJ
Past

February 22, 2011 - May 24, 2013

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
NEW YORK, NY
Past

January 8, 2010 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

BD
CRD#: 15791
NEW YORK, NY
Past

February 5, 2007 - December 23, 2009

ADVANCED EQUITIES, INC.

BD
CRD#: 35545
NEW YORK, NY
Past

June 14, 2006 - February 13, 2007

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
NEW YORK, NY

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
New Jersey
(8/20/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NCG SECURITIES LLC
NCG SECURITIES LLC

CRD#: 160481 / SEC#: , 8-69033

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
12 Broad Street 5th Floor, Red Bank, NJ, 07701
Mailing Address
12 Broad Street 5th Floor, Red Bank, NJ, 07701
Phone number
(732) 741-8400
Established
New Jersey since 11/02/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DOMENIC M. DIPIERO FAMILY TRUST F/B/O DOMENIC M. DIPIERO III, DAVID M. DIPIERO TTEE DATED JUNE 25, 2014OWNER
BENNETT, MICHELLE DCFO AND PRINCIPAL4456604
DIPIERO, DAVID MTRUSTEE6708748
DIPIERO, DOMENIC MATTHEWMANAGING MEMBER/ CEO AND PRINCIPAL/CCO4772723
EFREM, KATHY KHATINAFINOP3248100

Disclosures

Regulatory Event1

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.

Company Information

NCG SECURITIES LLC

CRD#: 160481Red Bank, NJ 07701

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