Nicholas T. Viticonte
Professional summary
Nicholas Treen Viticonte, who also goes by Nicholas Treen VIticonte, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 2 firms and has passed the Series 7TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Treen Viticonte's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2018 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917December 15, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/5/2019
General Securities Representative ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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