NC
Nicholas Carlozzi
TOCQUEVILLE ASSET MANAGEMENT LP
New York, NY 10019
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CRD#: 1276896
NC
Professional summary
Nicholas Carlozzi is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in Vero Beach, Florida.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 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.
TOCQUEVILLE ASSET MANAGEMENT L.P, INVESTMENT ADVISOR, IS AN AFFILIATE OF AND OPERATES OUT OF THE SAME OFFICES AS TOCQUEVILLE SECURITIES L.P.,EMPLOYMENT DATE: 2/24/2005, TITLE INVESTMENT ADVISOR, APPROXIMATELY 94% TO 96% (APPROXIMATELY 165 HOURS) OF TIME A MONTH IS DEVOTED TO TOCQUEVILLE ASSET MANAGEMENT L.P. AND VARIES ACCORDING TO BUSINESS REQUIRMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Carlozzi'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
May 2, 2006 - Present
TOCQUEVILLE ASSET MANAGEMENT LP
Office #1: 40 West 57th Street 19th Floor, New York, NY 10019RIA
CRD#: 105690
New York, NY
Current
March 3, 2005 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 2911 Cardinal Drive, Vero Beach, FL 32963Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019Office #3: 40 West 57th Street 19th Floor, New York, NY, 10019BD
CRD#: 26001
Vero Beach, FL
Past
September 19, 1996 - March 28, 2005
ROBERT R. MEREDITH & CO., INC.
BD
CRD#: 29501
NEW YORK, NY
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".
TA
TOCQUEVILLE ASSET MANAGEMENT LP
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
RIA
Registered Investment Advisory firm - (4/27/1990 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
California(3/3/2005)
RR
Connecticut(3/31/2005)
RR
Florida(4/7/2005)
RR
Georgia(10/27/2010)
RR
Maryland(3/8/2005)
RR
Missouri(1/4/2016)
RR
Nevada(4/13/2005)
RR
New Jersey(3/9/2005)
RR
New Mexico(11/3/2006)
RR
New York(3/14/2005)
IAR
New York(8/9/2021)
RR
Rhode Island(4/7/2005)
RR
South Carolina(4/7/2005)
RR
Texas(3/10/2005)
IAR
Texas(5/2/2006)
RR
Washington(4/11/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TOCQUEVILLE ASSET MANAGEMENT LP
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
RIA
Registered Investment Advisory firm - (4/27/1990 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 West 57th Street 19th Floor, New York, NY 10019
Mailing Address
Phone number
(212) 698-0800
Established
Firm type
Fiscal year end
# of Employees
77
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
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.
