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Information

Firm:
Type: Registered Representative
Description

Nicholas Toumboulides is a financial professional at Pershing LLC, a broker-dealer with over 1,100 registered representatives nationwide. Nicholas has held an industry securities registration for 6 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Nicholas Toumboulides has not answered any questions on Financial Q&A.

Top Guides

Nicholas Toumboulides has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Corporations or Other Businesses
Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations

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

Experience and Employment History

Employer Years Dates
Pershing LLC 11 years Apr 2003 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , 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

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
11/11/2013
*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

Exam Series Passed Date
General Securities Representative Examination Series 7 02/09/2007

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Hourly Charges
  • Subscription Fees
  • Fixed Fees
  • Other: A PERCENTAGE OF ASSETS IN SPONSORED WRAP FEE PROGRAMS.