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NM

Nicholas S. Mignone

HARBOR VIEW ADVISORS
Neptune Beach, FL 32266
Some features on this profile are disabled
CRD#: 6960492
NM

Professional summary

Nicholas S Mignone, who also goes by Nick Mignone, is a registered financial professional currently at HARBOR VIEW ADVISORS, LLC located in Neptune Beach, Florida.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Mignone

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 S Mignone's 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 25, 2018 - Present

HARBOR VIEW ADVISORS, LLC

Office #1: 310 3rd Street Suite 201, Neptune Beach, FL 32266
BD
CRD#: 151817
Neptune Beach, FL

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
Florida
(9/25/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/2019
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 79
Date: 9/25/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HV
HARBOR VIEW ADVISORS, LLC
HARBOR VIEW ADVISORS, LLC | HVA SECURITIES, LLC

CRD#: 151817 / SEC#: , 8-68401

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

Main Address
310 3rd Street Suite 201, Neptune Beach, FL 32266
Mailing Address
310 3rd Street Suite 201, Neptune Beach, FL 32266
Phone number
(904) 285-4278
Established
Florida since 07/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HVA HOLDINGS, LLCMEMBER
COLLINS, ELIZABETH SARAHFINOP4714831
MATHIS, CAROLYN BUFFCEO, CFO, CCO1785632
MATHIS, JOHN KENNETHPARTNER4145947

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

HARBOR VIEW ADVISORS, LLC

CRD#: 151817Neptune Beach, FL 32266

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