Nicholas G. Gioia
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 Gerard Gioia, who also goes by Nicholas Gerald Gioia, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1977. Nicholas had worked at 16 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - January 3, 2017
KOVACK SECURITIES INC.
December 13, 2013 - January 22, 2014
HENNION & WALSH, INC.
July 5, 2007 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
October 12, 2006 - July 6, 2007
ALTERNA CAPITAL CORP.
February 2, 2000 - October 13, 2006
PRIME CAPITAL SERVICES, INC.
April 8, 1997 - January 31, 2000
ADVEST, INC.
March 17, 1988 - March 27, 1997
RAYMOND JAMES & ASSOCIATES, INC.
January 21, 1988 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
July 17, 1986 - April 26, 1988
EASTER KRAMER GROUP SECURITIES, INC.
January 29, 1985 - July 14, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
September 13, 1984 - January 25, 1985
CITIGROUP GLOBAL MARKETS INC.
July 24, 1979 - August 13, 1984
TUCKER ANTHONY INCORPORATED
June 25, 1979 - November 20, 1983
LEHMAN BROTHERS INC.
March 6, 1979 - September 14, 1979
LOEB PARTNERS
May 2, 1978 - December 30, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 1, 1977 - May 24, 1978
QUINBY & CO., INCORPORATED
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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
