Nicholas A. Cinquina
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.
Nicholas Anthony Cinquina, who also goes by Nicholas A Cinquina, Nicholas Cinquina, Nick Cinquina, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2023. Nicholas had worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2024 - September 24, 2024
KLEINFELDER CAPITAL, INC.
June 22, 2023 - April 15, 2024
W&S BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
KLEINFELDER CAPITAL, INC.
CRD#: 289345 / SEC#: 801-111047
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 6TO
Date: 6/22/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KLEINFELDER CAPITAL, INC.
CRD#: 289345 / SEC#: 801-111047
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,076 |
| AUM (Assets Under Management) | $ 376,572,585 |
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.
