Nicholas W. Mingone
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 William Mingone, who also goes by Nick William Mingone, Nick Mingone, Nicholas William Mingone, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2013. Nicholas had worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2024 - June 11, 2024
LONG SHORT ADVISORS, LLC
February 20, 2019 - October 24, 2023
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 30, 2014 - January 30, 2019
RESOURCE SECURITIES LLC
September 9, 2014 - September 23, 2014
J.P. MORGAN SECURITIES LLC
May 22, 2013 - November 25, 2013
MORGAN STANLEY
April 22, 2013 - November 25, 2013
MORGAN STANLEY
Primary Firm SEC Registration
LONG SHORT ADVISORS, LLC
CRD#: 153632 / SEC#: 801-71538
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
Current Firm
LONG SHORT ADVISORS, LLC
CRD#: 153632 / SEC#: 801-71538
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 204,163,395 |
Red Flags
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