Nicholas D. Skaltsounis
Professional summary
Nicholas Dean Skaltsounis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Nicholas had worked at 10 firms, which includes ADVENT SECURITIES INC., ALLIED BEACON PARTNERS INC., COMMUNITY BANKERS SECURITIES LLC, UVEST FINANCIAL SERVICES GROUP INC., COMPULIFE INVESTOR SERVICES INC., RICHMOND FINANCIAL CORPORATION, DOMIK CORP., ANDERSON & STRUDWICK INCORPORATED, MORGAN STANLEY DW INC., FIRST UNION CAPITAL MARKETS CORP..
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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Experience
July 13, 2006 - September 24, 2010
ADVENT SECURITIES, INC.
July 27, 2005 - May 11, 2006
ADVENT SECURITIES, INC.
July 26, 2005 - September 7, 2010
ALLIED BEACON PARTNERS, INC.
February 21, 2003 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
June 20, 1997 - February 22, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
April 5, 1988 - June 3, 1997
COMPULIFE INVESTOR SERVICES, INC.
December 15, 1986 - August 9, 1988
RICHMOND FINANCIAL CORPORATION
March 5, 1986 - August 30, 1988
DOMIK CORP.
November 17, 1980 - March 3, 1986
ANDERSON & STRUDWICK, INCORPORATED
May 14, 1980 - December 10, 1980
MORGAN STANLEY DW INC.
August 8, 1977 - May 22, 1980
FIRST UNION CAPITAL MARKETS CORP.
July 22, 1976 - August 29, 1977
ANDERSON & STRUDWICK, INCORPORATED
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationSeries 12
Date: 12/20/1980
NYSE Branch Manager ExaminationCurrent Firm
ADVENT SECURITIES, INC.
CRD#: 128281 / SEC#: , 8-66120
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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