Nicholas S. Anderson
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 Stephen Anderson, who also goes by Nick Stephen Anderson, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2012. Nicholas had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2014 - June 10, 2015
AARON CAPITAL INCORPORATED
August 27, 2012 - March 4, 2014
OEM CAPITAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
AARON CAPITAL INCORPORATED
CRD#: 28583 / SEC#: , 8-44000
Contact information
Disclosures
| Regulatory Event | 5 |
| 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.
