TN
Thomas E. Nickol
KESTRA ADVISORY SERVICES
Indianapolis, IN 46278
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CRD#: 1199205
TN
Professional summary
Thomas Edward Nickol is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Indianapolis, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Indianapolis, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: Capital Financial Services Investment Related: Yes Address: 7114 Lakeside Woods Drive Indianapolis IN 46278 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Owner Start Date: 6/1/1984 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Sales and service of employee benefits. Business Name: Wealth Management & Benefit Partners, LLC Investment Related: Yes Address: 7424 Jager Court Cincinnati OH 45230 Nature of Business: Insurance Position, Title or Relationship: Producing agent Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Sale of fixed insurance products. Business Name: Larmann Financial Corporation Investment Related: Yes Address: 7424 Jager Court Cincinnati OH 45230 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial advisor Start Date: 9/1/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: prospecting for new retirement plan business. Business Name: KESTRA ADVISORY SERVICES, LLC POSITION: Registered Rep and Investment Advisory Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 90 START DATE: 11/11/2014 ADDRESS: 5707 southwest pkwy,, BLDG 2, suite 400, Austin TX 78735 DESCRIPTION: Sales and service of retirement plans.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Nickol's 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®
NoneExperience
Current
April 22, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 7114 Lakeside Woods Dr, Indianapolis, IN 46278Office #2: 7424 Jager Court, Cincinnati, OH 45230RIA
CRD#: 283330
Indianapolis, IN
Current
November 11, 2014 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 7114 Lakeside Woods Dr., Indianapolis, IN 46278Office #2: 7424 Jager Court, Cincinnati, OH 45230BD
CRD#: 42046
Indianapolis, IN
Past
January 28, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Shorewood, IL
Past
May 5, 2014 - May 7, 2014
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
CARMEL, IN
Past
May 7, 1992 - October 4, 2013
SICOR SECURITIES INC
BD
CRD#: 16195
INDIANAPOLIS, IN
Past
April 3, 1985 - April 1, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
October 6, 1983 - July 30, 1984
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Indiana(11/11/2014)
IAR
Indiana(4/22/2016)
IAR
Ohio(5/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
