Frank A. Nicolois
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.
Frank Anthony Nicolois was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1977. Frank had worked at 11 firms and has passed the Series 40 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 1991 - October 31, 1991
MANCHESTER RHONE SECURITIES CORP.
October 3, 1990 - April 16, 1991
MANCHESTER RHONE SECURITIES CORP.
August 6, 1990 - November 30, 1993
VANDERBILT SECURITIES, INC.
March 9, 1990 - November 7, 1991
V P SECURITIES, INC.
November 14, 1989 - December 6, 1989
DONALD & CO. SECURITIES INC.
January 25, 1989 - November 20, 1989
WILLIAM M. CADDEN & CO., INC.
March 2, 1988 - December 31, 1988
WILLIAM SCOTT & CO. L.L.C.
October 15, 1986 - February 1, 1988
F.N. WOLF & CO., INC.
June 30, 1986 - October 27, 1986
PHILIPS, APPEL & WALDEN, INC.
July 12, 1983 - June 30, 1986
S. D. COHN & CO.
November 25, 1980 - June 30, 1986
S. D. COHN & CO.
October 24, 1978 - December 1, 1980
BROADCHILD SECURITIES CORP.
August 4, 1977 - June 30, 1978
O'NEILL & FELDMAN, 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 40
Date: 8/1/1977
Registered Principal ExaminationCurrent Firm
MANCHESTER RHONE SECURITIES CORP.
CRD#: 15886 / SEC#: , 8-32879
Contact information
Documents
Red Flags
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