Articles Tagged with Nicholas Disesso

Nicholas DisessoPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 26, 2018 indicate that former New Jersey-based Ameriprise Financial Services broker/adviser Nicholas Disesso has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Disesso (CRD# 502153).

Nicholas Disesso has spent 38 years in the securities industry and was most recently registered with Amerprise Financial Services in Florham Park, New Jersey (2009-2016). Previous registrations include Ameriprise Financial Services in Short Hills, New Jersey (2009); Wells Fargo Advisors in Short Hills, New Jersey (2008-2009); AG Edwards & Sons in Short Hills, New Jersey (1991-2008); Dean Witter Reynolds in Purchase, New York (1988-1991); Smith Barney Harris Upham & Company (1986-1988); Moore & Schley Cameron & Company (1983-1986); Moore & Schley Municipals (1982-1986); and JB Hanauer & Company (1977-1982). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1989; Series 7 (General Securities Representative Examination), which he obtained on March 19, 1983; Series 1 (Registered Representative Examination), which he obtained on June 5, 1979; and Series 52 (Municipal Securities Representative Examination), which he obtained on March 10, 1979. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint, and was discharged from a former employer in connection to alleged rule violations.

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