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NC

Nicholas Costagliola

VIENNA CAPITAL PARTNERS LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 6535660
NC

Professional summary

Nicholas Costagliola is a registered financial professional currently at VIENNA CAPITAL PARTNERS LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2015. Nicholas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Costagliola's CRS (Customer Relationship Summary).
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

September 12, 2023 - Present

VIENNA CAPITAL PARTNERS LLC

Office #1: 40 Wall Street 17th Fl, New York, NY 10005
BD
CRD#: 311852
New York, NY
Past

December 10, 2019 - September 14, 2022

SW FINANCIAL

BD
CRD#: 145012
NEW YORK, NY
Past

November 4, 2016 - December 10, 2019

WORDEN CAPITAL MANAGEMENT LLC

BD
CRD#: 148366
New York, NY
Past

November 19, 2015 - November 9, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/4/2023)
RR
Florida
(3/24/2024)
RR
Iowa
(10/4/2023)
RR
New York
(9/12/2023)
RR
North Carolina
(11/15/2023)
RR
South Carolina
(10/4/2023)
RR
Texas
(11/5/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VIENNA CAPITAL PARTNERS LLC
VIENNA CAPITAL PARTNERS LLC

CRD#: 311852 / SEC#: , 8-70631

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

Main Address
40 Wall Street 17th Fl, New York, NY 10005
Mailing Address
40 Wall Street 17th Fl, New York, NY 10005
Phone number
(856) 319-2784
Established
Delaware since 11/06/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TOMASA ANTONIA HOLDINGS LLCDIRECT OWNER
DEFILIPPO, VINCENT JAMESCCO2792048
KAPPOTIS, ERNEST DOMENICFINOP

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

VIENNA CAPITAL PARTNERS LLC

CRD#: 311852New York, NY 10005

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