Nick P. Tinios
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.
Nick Peter Tinios was a registered financial professional .
Nick is a previously registered financial professional and started their career in finance in 1967. Nick had worked at 8 firms and has passed the Series 63, PC, Series 1, Series 4, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1992 - October 22, 2001
AUERBACH, POLLAK & RICHARDSON INC.
April 16, 1991 - June 24, 1992
STUART, COLEMAN & CO., INC.
October 3, 1988 - March 25, 1991
DOMINICK & DICKERMAN LLC
August 2, 1979 - October 3, 1988
DOMIK CORP.
February 28, 1975 - December 31, 1979
E. F. HUTTON & COMPANY INC
January 22, 1974 - March 3, 1975
THE FIRST BUFFALO CORPORATION
October 27, 1971 - May 9, 1975
FIRST DUSO SECURITIES CORPORATION
February 23, 1967 - December 10, 1971
R DANAIS CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 7/12/1979
AMEX Put and Call ExamSeries 1
Date: 2/21/1967
Registered Representative ExaminationSeries 00
Date: 11/23/1971
General Securities Principal ExaminationCurrent Firm
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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