Nicholas G. Drizos
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 Gust Drizos, who also goes by Nick Drizos, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1976. Nicholas had worked at 11 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 41, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2012 - September 17, 2021
PURSHE KAPLAN STERLING INVESTMENTS
November 19, 2009 - December 31, 2011
WELLINGTON SHIELDS & CO., LLC
March 21, 2007 - December 11, 2009
SHIELDS & COMPANY
April 4, 2005 - March 16, 2007
GUNNALLEN FINANCIAL, INC
September 6, 2001 - March 22, 2005
FIRST SECURITY INVESTMENTS, INC.
October 8, 1998 - December 4, 2001
HORIZON CAPITAL, INC.
August 20, 1987 - January 13, 1999
DRIZOS INVESTMENTS, INC.
July 3, 1985 - July 7, 1987
EMMET & CO, INC.
January 26, 1983 - July 14, 1987
WOLFE & HURST BOND BROKERS INC.
February 22, 1977 - June 13, 1985
WOLFE & HURST SECURITIES INC.
April 21, 1976 - January 29, 1977
HARTFIELD, TITUS & DONNELLY, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 41
Date: 1/13/1984
NYSE Allied Member ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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