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Nicholas George Tsiakilos

Sharebuilder 401K

Seattle, WA

CRD 5333551

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Employer firm

Sharebuilder 401K CRD 300537

5,500 advisory clients

Reported services (Item 5G)

  • Pension consulting
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Sharebuilder 401K

801 Second Ave Suite 1400, Seattle, WA 98104 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2019-08-02
  • WA RA
    APPROVED
    Since 2019-08-02

Branch Locations

801 Second Ave Suite 1400, Seattle, WA 98104 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ing Direct Investing, Inc. Seattle WA 08/2008 06/2019
Sharebuilder 401K Seattle WA 07/2019 Present
  • 08/2008 → 06/2019
    Ing Direct Investing, Inc.
    Seattle, WA
  • 07/2019 → Present
    Seattle, WA
Previous Registrations
  • 2011-03-28 → 2019-08-01
    Capital One Advisors, Llc
    Mclean, VA
    Seattle, WA
  • 2007-08-27 → 2008-08-28
    Msi Financial Services, Inc.
    Bellevue, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-13
  • S66 Uniform Combined State Law Examination
    2007-08-13
Other Names
  • Nick Tsiakilos
  • Nicholas Tsiakilos
  • Nicholas George Tsiakilos
  • Nicholas George Tsiakilos

View on SEC IAPD

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