Nicholas J. Cavalcante
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 Joseph Cavalcante, who also goes by Nicholas Cavalcante, Nick Joseph Cavalcante, Nick Conti, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2006. Nicholas had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2015 - February 8, 2016
FIRST STANDARD FINANCIAL COMPANY LLC
January 7, 2014 - August 14, 2014
LAIDLAW & COMPANY (UK) LTD.
March 19, 2013 - January 31, 2014
WINDSOR STREET CAPITAL, LP
June 27, 2012 - November 28, 2012
JOHN THOMAS FINANCIAL
March 6, 2012 - May 30, 2012
CHARLES VISTA LLC
November 30, 2010 - April 4, 2012
AEGIS CAPITAL CORP.
February 23, 2009 - November 15, 2010
CHARLES VISTA LLC
February 1, 2008 - January 27, 2009
JOHN THOMAS FINANCIAL
February 6, 2006 - January 24, 2008
MERCER CAPITAL LTD.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
