Nicolas A. Tierno
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.
Nicolas Alexander Tierno, who also goes by Nicolas Tierno, was a registered financial professional .
Nicolas is a previously registered financial professional and started their career in finance in 2014. Nicolas had worked at 4 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
October 10, 2019 - September 25, 2020
IM GLOBAL US DISTRIBUTORS LLC
November 29, 2016 - February 19, 2019
RESOURCE SECURITIES LLC
January 27, 2016 - September 30, 2016
MML INVESTORS SERVICES, LLC
July 22, 2015 - September 30, 2016
MML INVESTORS SERVICES, LLC
September 3, 2014 - June 5, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
IM GLOBAL US DISTRIBUTORS LLC
CRD#: 299892 / SEC#: , 8-70266
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
