Nicholas A. Nicolette

STERLING FINANCIAL PLANNING

Sparta, NJ 07871-2608

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CRD#: 1029894

Professional summary

Nicholas Anthony Nicolette, CFP®, who also goes by Nick Or Nicky Nicolette, Nick Nicolette, Nicky Nicolette, is a registered financial advisor currently at STERLING FINANCIAL PLANNING INC located in Sparta, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Nicholas has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Or Nicky Nicolette | Nick Nicolette | Nicky Nicolette

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Nicolette's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1984

Experience

Current

July 15, 2005 - Present

STERLING FINANCIAL PLANNING INC

Office #1: 60 Blue Heron Road, Suite 201, Sparta, NJ 07871-2608Office #2: 60 Blue Heron Road, Suite 201, Sparta, NJ 07871

RIA

CRD#: 108664

Sparta, NJ

Past

March 24, 2003 - May 6, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SPARTA, NJ

Past

December 1, 1999 - December 31, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

SPARTA, NJ

Past

May 19, 1992 - December 1, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 14, 1989 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

October 7, 1982 - August 29, 1989

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

February 25, 1982 - October 20, 1982

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STERLING FINANCIAL PLANNING INC

CRD#: 108664 / SEC#: 801-56025

RIA

Registered Investment Advisory firm - (11/10/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(11/14/2006)

IAR

Texas
(7/15/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/23/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

STERLING FINANCIAL PLANNING INC

CRD#: 108664 / SEC#: 801-56025

RIA

Registered Investment Advisory firm - (11/10/1998 Approved)

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Contact information

Main Address

60 Blue Heron Road, Suite 201, Sparta, NJ 07871-2608

Mailing Address

Phone number

(973) 729-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,602
AUM (Assets Under Management)	$ 671,921,507

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Nicholas A. Nicolette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Nicolette's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

ADVANTAGE CAPITAL CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

STERLING FINANCIAL PLANNING INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/1998

Series 63

Date: 8/21/1984

Series 7

Date: 9/17/1983

Series 6

Date: 2/16/1982

Current Firm

STERLING FINANCIAL PLANNING INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERLING FINANCIAL PLANNING INC

TRUST BUT VERIFY

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