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Nicholas J. Faccenda

DYNASTY SECURITIES
Saint Petersburg, FL 33701
Some features on this profile are disabled
CRD#: 6275881
NF

Professional summary

Nicholas John Faccenda, who also goes by Nick John Faccenda, is a registered financial professional currently at DYNASTY SECURITIES, LLC located in Saint Petersburg, Florida.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 3 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick John Faccenda

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 Nicholas John Faccenda'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®
None

Experience

Current

April 13, 2018 - Present

DYNASTY SECURITIES, LLC

Office #1: 200 Central Avenue Floor 15, Saint Petersburg, FL 33701Office #2: 200 Central Avenue Floor 15, Saint Petersburg, FL 33701
BD
CRD#: 159076
Saint Petersburg, FL
Past

May 26, 2016 - April 12, 2018

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

January 30, 2015 - May 31, 2016

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
Jersey City, NJ

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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/30/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DYNASTY SECURITIES, LLC
DYNASTY SECURITIES, LLC | PPS SECURITIES, LLC

CRD#: 159076 / SEC#: , 8-68962

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

Main Address
200 Central Avenue Floor 15, Saint Petersburg, FL 33701
Mailing Address
200 Central Avenue Floor 15, Saint Petersburg, FL 33701
Phone number
(212) 373-1019
Established
New York since 08/15/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DYNASTY FINANCIAL PARTNERS, LLCSHAREHOLDER
BUTTE, ANDREW THOMASCCO2094794
HOPKINS, THOMAS JOHNFINOP1835087
SALIT, MASON CARYCEO5105375

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.

Company Information

DYNASTY SECURITIES, LLC

CRD#: 159076Saint Petersburg, FL 33701

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