Nicholas W. Armstrong
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.
Nicholas William Armstrong was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2015. Nicholas had worked at 2 firms and has passed the 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
August 25, 2015 - May 31, 2017
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
August 25, 2015 - October 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
CRD#: 16139 / SEC#: , 8-33359
Contact information
Documents
Disclosures
| Regulatory Event | 55 |
| Arbitration | 1 |
Red Flags
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