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NV

Nikolas Vantzos

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CRD#: 6663707
NV

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.

Nikolas Vantzos was a registered financial professional .

Nikolas is a previously registered financial professional and started their career in finance in 2017. Nikolas had worked at 3 firms and has passed the SIE and Series 79 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)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

February 10, 2020 - July 17, 2020

SIGNUM GROWTH CAPITAL LLC

BD
CRD#: 300577
BROOKLYN, NY
Past

November 4, 2019 - February 6, 2020

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

August 19, 2017 - July 31, 2018

PERELLA WEINBERG PARTNERS LP

BD
CRD#: 138618
SAN FRANCISCO, CA

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: 7/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam

Current Firm


SG
SIGNUM GROWTH CAPITAL LLC
SIGNUM GROWTH CAPITAL | SIGNUM GROWTH CAPITAL LLC

CRD#: 300577 / SEC#: , 8-70297

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


Main Address
23 Wellsford Drive, Goshen, CT 06756
Mailing Address
23 Wellsford Drive, Goshen, CT 06756
Phone number
(718) 913-9093
Established
Delaware since 12/28/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 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#
DALTON, ANGELA HUBBARDCHIEF EXECUTIVE OFFICER2720260
DANIELS, RICHARD MATTHEWFINOP/POO/PFO5877964
KRUKOWSKI, JULIAN THEODORECHIEF COMPLIANCE OFFICER3070439

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


SIGNUM GROWTH CAPITAL LLC

CRD#: 300577

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