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NP

Nicole M. Parascandola

WALL STREET ACCESS
New York, NY 10005
Some features on this profile are disabled
CRD#: 5993875
NP

Professional summary

Nicole Marie Parascandola is a registered financial professional currently at WALL STREET ACCESS located in New York, New York.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2021. Nicole has worked at 1 firm and has passed the Series 99TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Marie Parascandola's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 10, 2021 - Present

WALL STREET ACCESS

Office #1: 100 Wall Street, Suite 804, New York, NY 10005
BD
CRD#: 10012
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 6/9/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WALL STREET ACCESS
WALL STREET ACCESS | WALL STREET INVESTOR SERVICES | WALL STREET CLEARING COMPANY

CRD#: 10012 / SEC#: , 8-25936

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street, Suite 804, New York, NY 10005
Mailing Address
100 Wall Street, Suite 804, New York, NY 10005
Phone number
(212) 709-9400
Established
New York since 02/01/1981
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPK SECURITIES, LLC98% OWNER/GENERAL PARTNER
DENIS P. KELLEHER, LLC2% OWNER/GENERAL PARTNER
GOETCHIUS, ARTHUR LEROYCHIEF EXECUTIVE OFFICER1374251
KELLEHER, SEAN MICHAELPRESIDENT1726997
LAVIN, WILLIAM KANE JREXECUTIVE MANAGING DIRECTOR / ROSFP2703117
MITCHELL, JOHN LOUISCHIEF FINANCIAL OFFICER / FINOP2193524
O'CONNELL, JOHN PATRICKASSISTANT CONTROLLER4698479
VISCOVICH, GREGORY DOMINICCHIEF COMPLIANCE OFFICER2621348

Disclosures

Regulatory Event19
Arbitration15

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WALL STREET ACCESS

CRD#: 10012New York, NY 10005

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