ANTHONY FRANCIS NICOLETTI is currently employed as a Broker and/or Investment Adviser at CAPITOL SECURITIES MANAGEMENT, INC. located at 706 EAST AVE., ROCHESTER, NY, 14607.
ANTHONY FRANCIS NICOLETTI has worked at CAPITOL SECURITIES MANAGEMENT, INC. since December 11, 2008
Disclosure History
ANTHONY FRANCIS NICOLETTI has 2 Disclosure Event(s).
Date: June 27, 2008 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY & CO. INCORPORATED Termination Type: Voluntary Resignation Allegations: MR. NICOLETTI WAS UNDER REVIEW FOR PROVIDING UNAUTHORIZED CORRESPONDENCE TO CLIENTS IN VIOLATION OF FIRM POLICY. Broker Comment: THE SPREADSHEETS WERE DISCLOSED TO MANAGEMENT, STRICTLY USED TO CONSOLIDATE CLIENT ASSETS.
Date: September 05, 2007 Category: Regulatory
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