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THOMAS VINCENT NICOLOSI
THOMAS VICTOR NICOLOSI
CRD#: 706477
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 1200 South Ave.
Suite 305
Staten Island, NY 10314
Suite 305
Staten Island, NY 10314
0
Disclosures
44
Years of Experience
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State Registrations
B
Connecticut 12/24/1986
B
New Jersey 4/1/1987
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Connecticut 1/31/1987
B
New York 12/24/1986
B
Hawaii 1/26/2005
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New York 4/16/2021
SRO Registrations
B
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IA
Registered with this firm since 1/31/1987
B
Registered with this firm since 3/26/1980
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/26/1980 - 07/03/2006 | MINNEAPOLIS, MN | |
B | 08/25/1986 - 12/24/1986 | ||
B | 03/26/1980 - 12/24/1986 |
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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.