Nico R. Demaio
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 Robert Demaio, who also goes by Nico R Demaio, Nico Demaio, was a registered financial professional .
Nico is a previously registered financial professional and started their career in finance in 2016. Nico had worked at 6 firms and has passed the Series 65, Series 63, 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
March 28, 2022 - August 29, 2022
COMPASS DISTRIBUTORS, LLC
September 10, 2020 - March 16, 2022
M. S. HOWELLS & CO.
December 4, 2018 - October 29, 2019
TD AMERITRADE, INC.
December 4, 2018 - October 29, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 4, 2018 - October 29, 2019
TD AMERITRADE, INC.
July 26, 2018 - November 13, 2018
CHARLES SCHWAB & CO., INC.
October 27, 2017 - November 13, 2018
CHARLES SCHWAB & CO., INC.
December 5, 2016 - January 12, 2017
VAN ECK SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
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