Frank Nickey (CRD #: 4287405), a broker and an investment adviser registered with Cuso Financial Services, L.P., is facing allegations that he recommended unsuitable investments, according to his BrokerCheck record, accessed on August 25, 2020.
On July 21, 2020, a client alleged that Frank Nickey recommended unsuitable investments in Puerto Rican bonds and Master Limited Partnership (MLP) funds. The dispute is pending.
On August 21, 2013, a client alleged that Frank Nickey did not follow instructions. The client sought $16,501; the dispute was denied by the firm.
Frank Nickey has passed the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker and a registered investment adviser in Virginia.
Frank Nickey has worked in the securities industry for 19 years. During his career, he has worked at the following firms:
- Wells Fargo Advisors Financial Network, LLC (CRD #: 11025)
- RBC Capital Markets LLC (CRD #: 31194)
- B. Hanauer & Co. (CRD #: 6958)
- Cardinal Capital Management (CRD #: 24605)
- K. Grace & Company (CRD #: 35203)
If Frank Nickey was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.