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Nicholas Fiore

MISCHLER FINANCIAL GROUP
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 7329792
NF

Professional summary

Nicholas Fiore is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 1 firm and has passed the Series 63, Series 52TO, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Fiore'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

October 8, 2021 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902
BD
CRD#: 37818
Stamford, CT

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
California
(10/8/2021)
RR
Connecticut
(10/8/2021)
RR
New York
(1/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/3/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/14/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/11/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

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

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Stamford, CT 06902

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