Nicholas J. Kraiko
Professional summary
Nicholas John Kraiko was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial advisor and started their career in finance in 2009. Prior to being barred, Nicholas had worked at 3 firms, which includes NATIONAL SECURITIES CORPORATION, PRINCIPAL SECURITIES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - March 25, 2021
NATIONAL SECURITIES CORPORATION
June 6, 2011 - December 18, 2013
PRINCIPAL SECURITIES, INC.
June 1, 2011 - December 18, 2013
PRINCIPAL SECURITIES, INC.
December 15, 2009 - July 13, 2010
EDWARD JONES
December 1, 2009 - July 13, 2010
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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