Nick S. Agliato
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.
Nick Sam Agliato, CFP®, who also goes by Nick S Agliato, Nickolas Sam Agliato, was a registered financial professional .
Nick is a previously registered financial professional and started their career in finance in 1990. Nick had worked at 9 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - April 29, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2012 - April 29, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 2011 - February 29, 2012
CHASE INVESTMENT SERVICES CORP.
July 8, 2011 - February 29, 2012
CHASE INVESTMENT SERVICES CORP.
May 4, 2011 - June 16, 2011
CETERA INVESTMENT ADVISERS LLC
May 4, 2011 - June 16, 2011
CETERA FINANCIAL SPECIALISTS LLC
November 30, 2010 - April 6, 2011
COUNTRY CAPITAL MANAGEMENT COMPANY
September 4, 2007 - July 27, 2010
1ST ADVANTAGE FINANCIAL ADVISERS, LLC
April 8, 2002 - July 28, 2010
CETERA INVESTMENT ADVISERS LLC
March 1, 2002 - July 28, 2010
CETERA FINANCIAL SPECIALISTS LLC
June 26, 1998 - December 3, 2001
IAC SECURITIES, INC.
December 3, 1990 - January 17, 1992
IDS LIFE INSURANCE COMPANY
December 3, 1990 - January 17, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 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.
