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Nicholas L. Fry

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CRD#: 1299363
NF

Professional summary

Nicholas Longworth Fry was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nicholas is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Nicholas had worked at 3 firms, which includes ROSS SINCLAIRE & ASSOCIATES LLC, FRY HENSLEY & CO, LINCOLN FINANCIAL DISTRIBUTORS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Fry

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 7, 2003 - July 21, 2008

ROSS, SINCLAIRE & ASSOCIATES, LLC

BD
CRD#: 25440
CINCINNATI, OH
Past

January 1, 2001 - December 31, 2013

FRY HENSLEY & CO

RIA
CRD#: 110882
CINCINNATI, OH
Past

October 26, 1984 - April 27, 1993

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/2/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 11/16/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/22/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RS
ROSS, SINCLAIRE & ASSOCIATES, LLC
CLIENTFIRST FINANCIAL STRATEGIES | RSA SECURITIES, INC. | ROSS, SINCLAIRE & ASSOCIATES, LLC | ROSS, SINCLAIRE & ASSOCIATES, INC. | MIG SECURITIES CORP.

CRD#: 25440 / SEC#: 801-78513, 8-41740

BD
Terminated by SEC on 08/14/2020
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Contact information

Main Address
700 Walnut Street Ste 600, Cincinnati, OH 45202-2027
Mailing Address
Phone number
Established
Ohio since 11/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

UPDATED RSAM PART 2B BROCHURE 3 31 2021 (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
SPISAK, KARL A MRFNOP CCO5206890

Disclosures

Regulatory Event11
Arbitration2

Red Flags

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

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Company Information

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

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