NA
Nicholas Alfieri
PICTET OVERSEAS
Montreal, Qc, H3B 4W5
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CRD#: 5787793
NA
Professional summary
Nicholas Alfieri is a registered financial professional currently at PICTET OVERSEAS INC. .
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2013. Nicholas has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Alfieri's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 21, 2013 - Present
PICTET OVERSEAS INC.
Office #1: 1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5Office #2: 1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B4W5BD
CRD#: 36500
Montreal, Qc,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/17/2015)
RR
Alaska(3/17/2015)
RR
Arizona(3/17/2015)
RR
Arkansas(3/17/2015)
RR
California(3/17/2015)
RR
Colorado(3/17/2015)
RR
Connecticut(3/17/2015)
RR
Delaware(3/17/2015)
RR
District of Columbia(3/17/2015)
RR
Florida(3/17/2015)
RR
Georgia(3/17/2015)
RR
Hawaii(3/17/2015)
RR
Idaho(3/17/2015)
RR
Illinois(3/17/2015)
RR
Indiana(3/17/2015)
RR
Iowa(3/17/2015)
RR
Kansas(3/17/2015)
RR
Kentucky(3/17/2015)
RR
Louisiana(3/17/2015)
RR
Maine(3/17/2015)
RR
Maryland(3/17/2015)
RR
Massachusetts(3/17/2015)
RR
Michigan(3/17/2015)
RR
Minnesota(3/17/2015)
RR
Mississippi(3/17/2015)
RR
Missouri(3/17/2015)
RR
Montana(3/17/2015)
RR
Nebraska(3/17/2015)
RR
Nevada(3/17/2015)
RR
New Hampshire(3/17/2015)
RR
New Jersey(3/17/2015)
RR
New Mexico(3/17/2015)
RR
New York(12/19/2013)
RR
North Carolina(3/17/2015)
RR
North Dakota(3/17/2015)
RR
Ohio(3/17/2015)
RR
Oklahoma(3/17/2015)
RR
Oregon(3/17/2015)
RR
Pennsylvania(3/17/2015)
RR
Puerto Rico(3/17/2015)
RR
Rhode Island(3/17/2015)
RR
South Carolina(3/17/2015)
RR
South Dakota(3/17/2015)
RR
Tennessee(12/1/2022)
RR
Texas(3/17/2015)
RR
Utah(3/17/2015)
RR
Vermont(3/17/2015)
RR
Virgin Islands(3/17/2015)
RR
Virginia(3/17/2015)
RR
Washington(3/17/2015)
RR
West Virginia(3/17/2015)
RR
Wisconsin(3/17/2015)
RR
Wyoming(3/17/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 10/29/2018
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PO
PICTET OVERSEAS INC.
PICTET OVERSEAS INC.
CRD#: 36500 / SEC#: , 8-47285
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5
Mailing Address
1000 De La Gauchetiere West Suite 3100, Montreal, Qc, H3B 4W5
Phone number
(514) 288-8161
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOPAFIN SA | DIRECT OWNER | |
| BAHADOOR, NITISH RAJ NMN | PRINCIPAL OPERATIONS OFFICER | 7779149 |
| GIRARD, CELINE | CHIEF COMPLIANCE OFFICER | 6324683 |
| HAMID, ERIC JEAN-PAUL | CHIEF EXECUTIVE OFFICER (AMERICAS) & DIRECTOR | 5301753 |
| LA SALA, GASPARE NMN | DIRECTOR | 7275103 |
| PETIT, GRÉGORY ANDRÉ ROGER | DIRECTOR | 7275081 |
| RUST, LAURENT MARC | CHIEF FINANCIAL OFFICER, CHIEF OF STAFF, PRINCIPAL FINANCIAL OFFICER, CORPORATE SECRETARY, FIN-OP | 7854583 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PICTET OVERSEAS INC.
CRD#: 36500Montreal, Qc, H3B 4W5TRUST BUT VERIFY
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