Nicholas A. Costa
Professional summary
Nicholas Austin Costa, CFP®, who also goes by Nick Costa, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 4 firms and has passed the Series 66, Series 52TO, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Austin Costa's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2021 - Present
TRADESTATION SECURITIES, INC.
Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324March 26, 2009 - April 3, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 6, 2007 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 31, 2007 - April 3, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 2006 - April 30, 2007
RAYMOND JAMES & ASSOCIATES, INC.
April 4, 2006 - April 30, 2007
RAYMOND JAMES & ASSOCIATES, INC.
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 52TO
Date: 7/2/2024
Municipal Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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Company Information
TRADESTATION SECURITIES, INC.
CRD#: 39473Plantation, FL 33324TRUST BUT VERIFY
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