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NICHOLAS SQUITIERI
CRD#: 2436788
IA
B
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.CRD#: 134510 2150 POST ROAD
SUITE 301
FAIRFIELD, CT 06824
SUITE 301
FAIRFIELD, CT 06824
HERBERT J. SIMS & CO, INC.CRD#: 3420 2150 POST ROAD
SUITE 301
FAIRFIELD, CT 06824
SUITE 301
FAIRFIELD, CT 06824
0
Disclosures
28
Years of Experience
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State Registrations
B
Connecticut 1/19/2012
IA
Connecticut 2/19/2020
SRO Registrations
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IA
Registered with this firm since 2/19/2020
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Registered with this firm since 1/19/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/25/2011 - 01/20/2012 | WESTPORT, CT | |
B | 10/29/2010 - 05/23/2011 | HOBOKEN, NJ | |
B | 02/13/2008 - 12/15/2008 | NEW YORK, NY | |
B | 08/25/2003 - 12/13/2007 | CHICAGO, IL | |
B | 07/18/2003 - 08/19/2003 | ST. LOUIS, MO | |
B | 09/13/2002 - 07/18/2003 | NEW YORK, NY | |
B | 04/01/1999 - 09/04/2002 | CHICAGO, IL | |
B | 04/29/1996 - 04/01/1999 | COLUMBUS, OH | |
B | 10/20/1994 - 04/15/1996 | HARTFORD, CT |
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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.