Nicholas J. Zocchi
Professional summary
Nicholas Joseph Zocchi is a registered financial professional currently at HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1979. Nicholas has worked at 7 firms and has passed the Series 63, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Joseph Zocchi's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2024 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747October 28, 2015 - January 9, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
November 30, 1993 - October 30, 2015
BRILL SECURITIES, INC.
August 18, 1988 - November 24, 1993
TUCKER ANTHONY INCORPORATED
January 30, 1988 - August 23, 1988
CIBC WORLD MARKETS CORP.
April 29, 1979 - February 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
April 2, 1979 - June 10, 1979
BLYTH EASTMAN DILLON & 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
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Exams
Series 15
Date: 3/11/1985
Foreign Currency Options ExaminationSeries 5
Date: 9/29/1982
Interest Rate Options ExaminationFINRA
Current Firm
HEROLD & LANTERN INVESTMENTS, INC.
CRD#: 30996 / SEC#: , 8-45285
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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