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NICK M BAPIS
CRD#: 11962
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 2603 East Parleys Way
Salt Lake City, UT 84109
Salt Lake City, UT 84109
ROCKEFELLER FINANCIAL LLCCRD#: 291361 2603 East Parleys Way
Salt Lake City, UT 84109
Salt Lake City, UT 84109
0
Disclosures
51
Years of Experience
View By:
State Registrations
B
Arizona 1/17/2020
B
New Jersey 6/6/2019
B
Arkansas 1/17/2020
B
New Mexico 1/17/2020
B
California 6/6/2019
B
New York 5/31/2019
B
Colorado 6/6/2019
B
North Carolina 11/17/2022
B
Connecticut 1/1/2020
B
Ohio 1/2/2020
B
District of Columbia 1/17/2020
B
Oklahoma 1/10/2020
B
Florida 6/6/2019
B
Oregon 1/1/2020
B
Georgia 6/6/2019
B
Pennsylvania 1/1/2020
B
Hawaii 3/6/2023
B
South Carolina 1/17/2020
B
Idaho 6/6/2019
B
South Dakota 1/1/2020
B
Illinois 6/6/2019
B
Tennessee 2/16/2021
B
Kansas 1/17/2020
B
Texas 6/6/2019
B
Louisiana 1/17/2020
IA
Texas 10/1/2021
B
Maryland 6/6/2019
IA
Texas 12/18/2024
B
Massachusetts 1/1/2020
IA
Utah 6/3/2019
B
Michigan 1/1/2020
B
Utah 1/17/2020
B
Minnesota 1/1/2020
B
Virgin Islands 6/21/2024
B
Missouri 1/17/2020
B
Virginia 1/1/2020
B
Montana 6/13/2019
B
Washington 6/6/2019
B
Nevada 1/1/2020
B
Wyoming 6/6/2019
B
New Hampshire 9/25/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/18/2024
IA
Registered with this firm since 6/3/2019
B
Registered with this firm since 5/31/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/07/2018 - 01/17/2020 | Salt Lake City, UT | |
IA | 11/07/2008 - 09/12/2018 | SALT LAKE CITY, UT | |
B | 11/07/2008 - 09/12/2018 | SALT LAKE CITY, UT | |
IA | 04/02/2007 - 11/10/2008 | SALT LAKE CITY, UT | |
B | 04/02/2007 - 11/10/2008 | SALT LAKE CITY, UT | |
IA | 11/29/1991 - 04/02/2007 | SALT LAKE CITY, UT | |
B | 01/25/1988 - 04/02/2007 | SALT LAKE CITY, UT | |
B | 02/15/1988 - 05/09/1991 | ||
B | 07/18/1973 - 02/15/1988 |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.