Nicholas C. Mealo
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 Charles Mealo was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1977. Nicholas had worked at 8 firms and has passed the Series 63 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
December 16, 1998 - July 11, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 4, 1998 - September 24, 1998
AVANTAX INVESTMENT SERVICES, INC.
June 1, 1996 - June 13, 1996
WALNUT STREET SECURITIES, INC.
May 1, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
June 24, 1992 - December 31, 1994
NORTH AMERICAN MANAGEMENT, INC.
March 15, 1983 - March 25, 1992
VP DISTRIBUTORS LLC
August 13, 1980 - August 10, 1981
CITIGROUP GLOBAL MARKETS INC.
February 15, 1979 - September 1, 1980
JANNEY MONTGOMERY SCOTT LLC
September 1, 1977 - November 30, 1977
FIRST JERSEY SECURITIES, 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
Current Firm
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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