Nico Sharp (CRD #: 5988268), a broker previously registered with CitiGroup Global Markets Incorporated, and an investment adviser previously registered with Spotlight Asset Group, is the subject of a FINRA investigation and a customer complaint regarding a million-dollar security that he facilitated without disclosing his connection to the company, according to his BrokerCheck record, accessed August 21, 2020. Do you have questions about Nico Sharp’s conduct as a broker? Keep reading to find out more.
On June 8, 2020, an investor alleged that Nico Sharp recommended an investment in Chronos Capital Partners, LLC, a company Mr. Sharp co-founded, without disclosing his connection to the company to the investor. The investor filed a complaint alleging that Nico Sharp defrauded the customer by recommending an unsuitable investment. The investor is seeking $1,000,000 in damages; the dispute is pending.
On June 8, 2020, FINRA initiated an investigation into Nico Sharp regarding a customer dispute. That action is pending.
Nico Sharp has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination.
Nico Sharp has worked in the securities industry for seven years. In the course of his career, he has worked at the following firms:
- Spotlight Asset Group (CRD #: 288076)
- CitiGroup Global Markets, Incorporated (CRD #: 7059)
- J.P. Morgan Securities LLC (CRD #: 79)
- TD Ameritrade, Incorporated (CRD #: 7870)
- PNC Investments (CRD #: 129052)
- Wells Fargo Advisors, LLC (CRD #: 19616)
If Nico Sharp was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.