Nicholas Dipaola
Professional summary
Nicholas Dipaola, AIF®, who also goes by Nicholas George Dipaola, is a registered financial professional currently at PACER FINANCIAL, INC. located in Malvern, Pennsylvania.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Dipaola's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2022 - Present
PACER FINANCIAL, INC.
Office #1: 500 Chesterfield Parkway, Malvern, PA 19355October 23, 2018 - June 14, 2022
TRANSAMERICA CAPITAL, LLC
September 18, 2017 - October 18, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2022)
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(9/22/2022)
Exams
FINRA
Current Firm
PACER FINANCIAL, INC.
CRD#: 137040 / SEC#: , 8-67061
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMSON, JOE MCKEE | PRESIDENT | 718569 |
| OHARA, SEAN EDWARD | DIRECTOR | 1312483 |
| BRADBARD, ASHLEE ANN THOMSON | SR. VICE PRESIDENT | 5761850 |
| THOMSON, JOANN MARIE | SECRETARY/TREASURER | 5086499 |
| ZELLER, KIMBERLY L. T. | VICE PRESIDENT | 5774669 |
| JOHNSON, JEFFREY SHAWN | CHIEF COMPLIANCE OFFICER | 5508770 |
| MILLER, JOHN STEVENSON | FINOP | 2139980 |
Red Flags
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