Nicholas A. Rea
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas Anthony Rea, who also goes by Anthony Nicholas Rea, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1983. Nicholas had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2021 - April 4, 2023
MISSIONSQUARE RETIREMENT
January 5, 2021 - April 4, 2023
MISSIONSQUARE INVESTMENT SERVICES
August 4, 2016 - January 8, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
August 3, 2016 - January 8, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
July 20, 2015 - January 4, 2016
KOVACK ADVISORS, INC.
July 16, 2015 - January 4, 2016
KOVACK SECURITIES INC.
July 20, 2012 - July 27, 2015
L.M. KOHN & COMPANY
January 4, 2012 - July 23, 2012
LEONARD & COMPANY
October 7, 1997 - September 3, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 21, 1996 - August 20, 1997
MUTUAL OF AMERICA SECURITIES LLC
June 13, 1989 - August 20, 1997
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
August 18, 1987 - November 3, 1988
MORGAN STANLEY DW INC.
December 9, 1983 - June 29, 1987
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
