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Detailed Report
NICHOLAS IPPOLITO III
CRD#: 2431878
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 101 CRAWFORDS CORNER ROAD
SUITE 2405
HOLMDEL, NJ 07733
Registration History
19952000200520102015202020252 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - Present (6 years)BVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2014 - 2017 (2 years)BQUICK & REILLY, INC. (CRD# 11217)2002 - 2004 (1 year)BLCP CAPITAL CORP. (CRD# 14469)1999 - 2001 (2 years)BR.D. WHITE & CO., INC. (CRD# 7011)1996 - 1999 (2 years)BA.S. GOLDMEN & CO., INC. (CRD# 23180)1994 - 1996 (2 years)IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2016 - 2017 (<1 year)IAQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)
Disclosure(s)
View By:
4/25/2018
Customer Dispute
Settled
3/14/2017
Customer Dispute
Denied
1/27/2017
Employment Separation After Allegations
2/26/2013
Customer Dispute
Settled
5/27/2009
Customer Dispute
Denied
4/21/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/5/2024
B
New York 6/11/2018
B
Arizona 12/12/2024
IA
New York 4/16/2021
B
Florida 4/1/2022
B
Pennsylvania 2/1/2021
IA
Florida 4/1/2022
IA
Pennsylvania 2/1/2021
B
New Jersey 6/11/2018
B
Texas 5/20/2021
IA
New Jersey 6/13/2018
IA
Texas 5/20/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
101 CRAWFORDS CORNER ROAD SUITE 2405, HOLMDEL, NJ 07733
Registered with this firm since 6/13/2018
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
101 CRAWFORDS CORNER ROAD SUITE 2405, HOLMDEL, NJ 07733
Registered with this firm since 6/11/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/07/2017 - 06/20/2018 CALTON & ASSOCIATES, INC. (CRD#:20999) MATAWAN, NJ
B
 01/30/2017 - 06/20/2018 CALTON & ASSOCIATES, INC. (CRD#:20999) MATAWAN, NJ
IA
 04/27/2016 - 02/10/2017 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) EAST BRUNSWICK, NJ
B
 05/16/2014 - 02/10/2017 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) EAST BRUNSWICK, NJ
IA
 03/06/2009 - 05/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) HIGHLAND PARK, NJ
B
 03/06/2009 - 05/22/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) HIGHLAND PARK, NJ
IA
 04/03/2006 - 03/06/2009 PNC INVESTMENTS (CRD#:129052) HOLMDEL, NJ
B
 04/03/2006 - 03/06/2009 PNC INVESTMENTS (CRD#:129052) HOLMDEL, NJ
IA
 10/20/2004 - 03/31/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) EAST BRUNSWICK , NJ
B
 10/20/2004 - 03/31/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
 07/29/2004 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) MILLTOWN, NJ
B
 11/19/2002 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 01/25/1999 - 01/24/2001 LCP CAPITAL CORP. (CRD#:14469) STATEN ISLAND, NY
B
 05/24/1996 - 02/09/1999 R.D. WHITE & CO., INC. (CRD#:7011)
FINRA expelled the firm on 07/10/2000
NEW YORK, NY
B
 01/04/1994 - 05/02/1996 A.S. GOLDMEN & CO., INC. (CRD#:23180) RED BANK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.