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NICHOLAS Charles PAVIA
NICHOLAS C PAVIA, Nick Charles Pavia
CRD#: 5044474
IA
B
APOLLON WEALTH MANAGEMENT, LLCCRD#: 291902 2 Wharside St
Charleston, SC 29401
Charleston, SC 29401
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 2 Wharfside St.
Suite 2-O
Charleston, SC 29401
Suite 2-O
Charleston, SC 29401
View By:
4/23/2018
Customer Dispute
Settled
State Registrations
B
California 1/17/2025
B
Ohio 2/2/2025
B
Florida 1/17/2025
IA
South Carolina 11/26/2024
B
Georgia 1/17/2025
B
South Carolina 1/21/2025
B
Idaho 1/16/2025
B
Tennessee 1/21/2025
B
North Carolina 1/21/2025
IA
Texas 11/26/2024
SRO Registrations
B
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IA
Registered with this firm since 11/26/2024
B
Registered with this firm since 1/16/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/10/2023 - 12/02/2024 | DANIEL ISLAND, SC | |
B | 08/10/2023 - 12/02/2024 | DANIEL ISLAND, SC | |
IA | 03/27/2008 - 08/10/2023 | DANIEL ISLAND, SC | |
B | 07/31/2006 - 08/10/2023 | DANIEL ISLAND, SC | |
B | 01/23/2006 - 07/13/2006 | CHARLESTON, SC |
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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.