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Nicholas Toumboulides

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Information

Firm:
Type: Registered Representative
Description

Nicholas Toumboulides is a financial professional at Pershing LLC, a broker-dealer with over 1,050 registered representatives nationwide. Nicholas has held an industry securities registration for 6 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Pershing LLC 11 years, 4 months Apr 2003 - Present
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 02/09/2007

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.

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.

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.