Nico R. Sharp
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.
Nico Raphael Sharp was a registered financial professional .
Nico is a previously registered financial professional and started their career in finance in 2012. Nico had worked at 7 firms and has passed the 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 27, 2019 - July 29, 2020
SPOTLIGHT ASSET GROUP
June 30, 2017 - May 22, 2018
CITIGROUP GLOBAL MARKETS INC.
June 30, 2017 - May 22, 2018
CITIGROUP GLOBAL MARKETS INC.
April 28, 2015 - July 6, 2017
J.P. MORGAN SECURITIES LLC
April 28, 2015 - July 6, 2017
J.P. MORGAN SECURITIES LLC
April 15, 2013 - April 9, 2015
TD AMERITRADE, INC.
April 15, 2013 - April 9, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 15, 2013 - April 9, 2015
TD AMERITRADE, INC.
January 30, 2013 - March 25, 2013
PNC WEALTH MANAGEMENT LLC
January 30, 2013 - March 25, 2013
PNC WEALTH MANAGEMENT LLC
October 11, 2012 - January 30, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2012 - January 30, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 15, 2012 - May 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2012 - May 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
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
SPOTLIGHT ASSET GROUP
CRD#: 288076 / SEC#: 801-110415
Contact information
Regulatory assets under management
| Total Number of Accounts | 398 |
| AUM (Assets Under Management) | $ 205,143,765 |
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.
