Nicholas A. Codispoti
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 Anthony Codispoti was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1976. Nicholas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2005 - November 16, 2021
BUCKMAN ADVISORY GROUP LLC
April 18, 2005 - November 15, 2021
BUCKMAN, BUCKMAN & REID, INC.
July 1, 2003 - April 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 12, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 20, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1989 - June 26, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 2, 1982 - August 22, 1989
MID-STATE SECURITIES CORP.
June 3, 1980 - December 5, 1981
FIRST INTERREGIONAL EQUITY CORP.
January 25, 1980 - May 7, 1982
UNION MUNICIPAL CORP
April 6, 1976 - February 24, 1980
GIBRALTAR SECURITIES CO.
Primary Firm SEC Registration
BUCKMAN ADVISORY GROUP LLC
CRD#: 131688 / SEC#: 801-63540
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 8
Date: 1/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 8/10/1978
Registered Principal ExaminationCurrent Firm
BUCKMAN ADVISORY GROUP LLC
CRD#: 131688 / SEC#: 801-63540
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 834 |
| AUM (Assets Under Management) | $ 236,142,403 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 11/20/2024 | ||
| 03/04/2024 | ||
| 07/05/2022 |
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.
