NICOLAS ALEXANDER TIERNO is currently employed as a Broker and/or Investment Adviser at RESOURCE SECURITIES LLC located at 1845 WALNUT STREET, 17TH FLOOR, PHILADELPHIA, PA, 19103.
NICOLAS ALEXANDER TIERNO has worked at RESOURCE SECURITIES LLC since November 29, 2016
Disclosure History
NICOLAS ALEXANDER TIERNO has 2 Disclosure Event(s).
Date: September 15, 2016 Category: Employment Separation After Allegations Firm Name: MML Investors Services, LLC Termination Type: Permitted to Resign Allegations: Concerns related to handling confidential information. Broker Comment: Mr. Tierno indicated that he was granted full permission by his client to share certain client information in the manner that it was shared by Mr. Tierno. Mr. Tierno also indicated that his client in no way complained about Mr. Tierno's actions, and that ommunications from the client support Mr. Tierno's assertion.
Date: May 08, 2015 Category: Employment Separation After Allegations Firm Name: NMIS, LLC Termination Type: Permitted to Resign Allegations: REGISTERED REPRESENTATIVE WAS PERMITTED TO RESIGN WHILE UNDER INTERNAL REVIEW AFTER ALLEGEDLY SUBMITTING A NON-VARIABLE INSURANCE APPLICATION CONTAINING COPIES OF A CLIENT'S SIGNATURE THAT WERE AFFIXED (I.E., "CUT AND PASTED") TO THE APPLICATION. THE REPRESENTATIVE DENIED AFFIXING THE CLIENT'S SIGNATURES TO THE APPLICATION. Broker Comment: I NEITHER DID THE AFFIXING THAT HAD TAKEN PLACE, NOR ASKED ANYONE TO DO THE AFFIXING OF CLIENT SIGNATURES TO ANY DOCUMENTATION.
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