Nicholas S Mignone
Professional Summary
Nicholas S Mignone, who also goes by Nick Mignone, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nick Mignone
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
HARBOR VIEW ADVISORS, LLC | HVA SECURITIES, LLC
Contact Information
Main Address
310 3rd Street Suite 201, Neptune Beach, FL 32266Mailing Address
310 3rd Street Suite 201, Neptune Beach, FL 32266Phone Number
(904) 285-4278Established
Florida since 07/15/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (7 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/25/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Sep 2018About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas S Mignone's CRS (Customer Relationship Summary).
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