Nicholas L. Lattanzio

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CRD#: 866966

Professional summary

Nicholas Lawrence Lattanzio 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 1984. Prior to being barred, Nicholas had worked at 14 firms, which includes ROBERT R. MEREDITH & CO. INC., GREAT EASTERN SECURITIES INC., A.B. WATLEY INC., SMITH POINT CAPITAL LTD, SLS SECURITIES COMPANY, ENCLAVE CAPITAL LLC, WORLDCO L.L.C., MIDLAND WALWYN CAPITAL CORPORATION, MAPLE SECURITIES U.S.A. INC., NBF SECURITIES (USA) CORP., GORDON CAPITAL INC., GLOBAL PARTNERS SECURITIES INC., CANTOR FITZGERALD & CO., J.P. MORGAN SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas L Lattanzio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 13, 2004 - June 23, 2005

ROBERT R. MEREDITH & CO., INC.

CRD#: 29501

NEW YORK, NY

Past

June 24, 2003 - December 4, 2003

GREAT EASTERN SECURITIES, INC.

CRD#: 2061

NEW YORK, NY

Past

December 9, 2002 - April 8, 2003

A.B. WATLEY, INC.

CRD#: 797

NEW YORK, NY

Past

May 20, 2002 - August 15, 2002

SMITH POINT CAPITAL LTD

CRD#: 46042

CHAPEL HILL, NC

Past

May 10, 2001 - January 3, 2002

SLS SECURITIES COMPANY

CRD#: 13332

OCONOMOWOC, WI

Past

October 7, 1998 - September 25, 2000

ENCLAVE CAPITAL LLC

CRD#: 22732

BOCA RATON, FL

Past

February 5, 1998 - February 16, 1998

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

March 1, 1997 - October 9, 1997

MIDLAND WALWYN CAPITAL CORPORATION

CRD#: 2775

Past

September 10, 1993 - August 23, 1996

MAPLE SECURITIES U.S.A. INC.

CRD#: 33947

JERSEY CITY, NJ

Past

January 30, 1992 - April 25, 1994

NBF SECURITIES (USA) CORP.

CRD#: 25541

MONTREAL,

Past

November 8, 1991 - December 3, 1991

GORDON CAPITAL INC.

CRD#: 6947

NEW YORK, NY

Past

January 14, 1991 - February 27, 1991

GLOBAL PARTNERS SECURITIES INC.

CRD#: 19606

FORT LAUDERDALE, FL

Past

November 16, 1989 - October 31, 1990

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

April 9, 1984 - July 24, 1985

J.P. MORGAN SECURITIES LLC

CRD#: 79

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/17/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 8/6/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 12/21/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/19/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/1/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/1994

General Securities Principal Examination

Current Firm

ROBERT R. MEREDITH & CO., INC.

MEREDITH, MARTIN & KAYE INCORPORATED | ROBERT R. MEREDITH & CO., INC.

CRD#: 29501 / SEC#: , 8-44108

Cancelled by SEC on 09/28/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 08/01/1991

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MEREDITH FINANCIAL GROUP INC.	PARENT COMPANY
HOFFMAN, PETER ROSS	FINOP, CCO	2929643
MONTGOMERY, JON MARTIN	DIRECTOR, VICE PRESIDENT & SECRETARY	6741592

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Nicholas L. Lattanzio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GREAT EASTERN SECURITIES, INC.

A.B. WATLEY, INC.

SMITH POINT CAPITAL LTD

SLS SECURITIES COMPANY

ENCLAVE CAPITAL LLC

WORLDCO, L.L.C.

MIDLAND WALWYN CAPITAL CORPORATION

MAPLE SECURITIES U.S.A. INC.

NBF SECURITIES (USA) CORP.

GORDON CAPITAL INC.

GLOBAL PARTNERS SECURITIES INC.

CANTOR FITZGERALD & CO.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/1992

Series 55

Date: 8/6/2001

Series 3

Date: 12/21/1988

Series 7

Date: 5/19/1979

Series 4

Date: 10/1/2001

Series 24

Date: 1/11/1994

Current Firm

ROBERT R. MEREDITH & CO., INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBERT R. MEREDITH & CO., INC.

TRUST BUT VERIFY

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