Andrew P. Nicolaou
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.
Andrew Philip Nicolaou, who also goes by Andew Philip Nicolaou, Phil Nicolaou, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1980. Andrew had worked at 4 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2006 - February 17, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
May 31, 2002 - November 9, 2004
GUGGENHEIM DISTRIBUTORS, LLC
August 21, 1990 - January 11, 2002
CHARLES SCHWAB & CO., INC.
October 28, 1980 - August 10, 1990
MORGAN STANLEY DW INC.
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 6/12/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 1 |
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.
