Nicholas C. Tortora
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 Christopher Tortora was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2019. Nicholas had worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2019 - November 8, 2019
CONCORD WEALTH BROKERAGE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/26/2019
General Securities Representative ExaminationCurrent Firm
CONCORD WEALTH BROKERAGE, INC.
CRD#: 24999 / SEC#: , 8-41511
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOPEZ WEALTH MANAGEMENT GROUP, LLC | SOLE MEMBER | |
| LOPEZ, JONATHAN WADE | PRESIDENT & CEO | 1534582 |
| WEATHERLY, JONATHAN ROBERT | CHIEF COMPLIANCE OFFICER |
Red Flags
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