Nicholas H. Rembowski
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 Hall Rembowski, who also goes by Nicholas Rembowski, Nick Rembowski, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2017. Nicholas had worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2023 - March 13, 2026
TAGLICH BROTHERS, INC.
August 21, 2018 - October 1, 2020
JEFFERIES LLC
February 14, 2017 - August 15, 2018
SEAPORT GLOBAL SECURITIES LLC
Primary Firm SEC Registration
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 10/17/2023
Investment Banking Registered Representative ExaminationCurrent Firm
TAGLICH BROTHERS, INC.
CRD#: 29102 / SEC#: 801-68376, 8-44118
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 190 |
| AUM (Assets Under Management) | $ 45,136,551 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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