Nicholas J. Cimafonte
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 James Cimafonte, who also goes by Nicholas Cimafonte, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2015. Nicholas had worked at 3 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
September 25, 2020 - January 19, 2021
SW FINANCIAL
November 30, 2017 - October 7, 2019
SPARTAN CAPITAL SECURITIES, LLC
December 9, 2016 - September 26, 2017
SPARTAN CAPITAL SECURITIES, LLC
November 10, 2015 - December 24, 2015
SPARTAN CAPITAL SECURITIES, LLC
September 10, 2015 - January 6, 2017
MORGAN WILSHIRE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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