KN
Kevin P. Nicholson
THE ASCENT GROUP
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 1562200
KN
Professional summary
Kevin Patrick Nicholson is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Wayne, Pennsylvania and OSAIC WEALTH, INC. located in Wayne, Pennsylvania.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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.
1)Alera Group;investment related;3 Parkway N,Suite 500,Deerfield,IL 60015;corporation;associate;1/2/2023;160 hrs/month;130 hrs during trading;associate of Alera Group,act as an RR,IAR, and insurance agent as applicable to continue to serve my existing clients and new clients as well 2)The Ascent Group;investment related;119 W Wayne Ave,Wayne,PA 19087;investment advisor for advisory fee business as part of our Wealth Management practice,llc;IAR;5/15/2021;160 hrs/month;130 hrs during trading;providing investment advice to clients in return for advisory fees 3) Licensed as independent insurance agent;investment related;119 W Wayne Ave,Wayne,PA 19087;sale of fixed insurance products;agent;8/1/1986;40 hrs/month;40 hrs during trading;sale of fixed insurance products to clients where appropriate 4)Walnic Properties;not investment related;119 W Wayne Ave,Wayne,PA 19087;llc;partner;5/1/2002;0 hrs/month;0 hrs during trading;owner of property that we house TAG-Walsh and Nicholson Financial Group 5)Walsh and Nicholson Financial Group;investment related;119 W Wayne Ave,Wayne,PA 19087;insurance and investment practice;officer;4/1/1991;160 hrs/month;130 hrs during trading;sale of investment and insurance products as part of our wealth management practice 5) WALNIC PROPERTIES, LLC POSITION: Co-owner NATURE: LLC 50% owner of LLC that owns the property that our office is located in. We are the sole tenant. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 119 West Wayne Ave., Wayne PA 19087, United States DESCRIPTION: Periodically address maintenance issues of building. Confirm finances correct w/accountant.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Patrick Nicholson'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 14, 2021 - Present
THE ASCENT GROUP, LLC
Office #1: 119 W. Wayne Avenue, Wayne, PA 19087RIA
CRD#: 314424
Wayne, PA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 119 West Wayne Avenue, Wayne, PA 19087RIA
BD
CRD#: 23131
Wayne, PA
Past
February 2, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Wayne, PA
Past
August 12, 2008 - November 5, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
WAYNE, PA
Past
June 30, 2006 - January 24, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
WAYNE, PA
Past
July 28, 1997 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
WAYNE, PA
Past
September 1, 1992 - July 29, 1997
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 10, 1986 - September 2, 1992
NEW ENGLAND SECURITIES
BD
CRD#: 615
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
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 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
Arizona(8/23/2024)
RR
Arkansas(8/23/2024)
RR
California(8/23/2024)
RR
Colorado(8/23/2024)
RR
Connecticut(8/23/2024)
RR
Delaware(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Indiana(8/23/2024)
RR
Iowa(8/23/2024)
RR
Maine(8/23/2024)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Michigan(8/23/2024)
RR
Minnesota(8/23/2024)
RR
Mississippi(8/23/2024)
RR
Missouri(8/23/2024)
RR
New Hampshire(8/23/2024)
RR
New Jersey(8/23/2024)
RR
New Mexico(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(8/23/2024)
RR
Oklahoma(8/23/2024)
RR
Oregon(8/23/2024)
IAR
Pennsylvania(5/14/2021)
RR
Pennsylvania(8/23/2024)
RR
South Carolina(8/23/2024)
RR
Tennessee(8/23/2024)
RR
Texas(8/23/2024)
RR
Virginia(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
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.
