Nicholas A. Bastone
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 Bastone, who also goes by Nicholas Bastone, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2008. Nicholas had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - October 28, 2014
CHELSEA FINANCIAL SERVICES
February 27, 2012 - October 9, 2012
EQUITY SERVICES, INC.
February 1, 2011 - December 13, 2011
BERNARD HEROLD & CO., INC.
June 19, 2008 - January 19, 2011
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
