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Nicholas Joseph Stroia

Nicholas Joseph Stroia
Other Names: Stroia Securities Services, Inc.
Firm:
SPC
DBA:

Stroia Securities Services, Inc.
Additional Firm:
Sigma Financial Corporation
Type: Dual Registration
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Description

Nicholas Stroia a financial professional at SPC, a $1B dollar RIA based in Haisley, MI. Nicholas is also registered with Sigma Financial Corporation. Nicholas has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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Level 8 Level 8 Contributor 1 Answer and 2 Financial Guides

Top Answers

Can I view my 401(k) statement online?

Answered Sep 07, 2012 near Southgate, MI
4 votes
You should just look on an old statement for the website or (800) number to call. You can also contact your H/R person at the company.

Top Guides

Ford Pension Buy outs

Published Aug 28, 2012
4 votes
We are going to have more discussion groups and presentations on the FORD Buy Outs. If you would like to attend one please contact our office. I attached a flyer for details. The dates are ...(more)

GM & FORD buy out options

Published Jul 06, 2012
9 votes
Come join us for an open dicussion on FORD & GM buy out options. TV’s Grand Event, 2651 West Jefferson Ave, Trenton, MI Wednesday, July 11th, 2012 Time 6:30 PM To RSVP please call (734) ...(more)
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Sigma Financial Corporation 15 years, 2 months Mar 1998 - Present
Golden Rose 18 years, 10 months Aug 1994 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/21/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
10/21/2011
02/27/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 12/21/2006
General Securities Representative Examination Series 7 03/14/1995
Uniform Securities Agent State Law Examination Series 63 02/10/1995

Advisor Compensation Arrangements

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Types of Compensation Arrangements

Compensation Arrangement Chart