Nicholas S. Preddice
Professional summary
Nicholas Steven Preddice is a registered financial advisor currently at THE AFFINITY GROUP, LLC located in Albany, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Nicholas has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24, Series 26 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Steven Preddice's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2021 - Present
THE AFFINITY GROUP, LLC
Office #1: 4 Tower Place First Floor, Albany, NY 12203October 1, 2002 - May 12, 2021
MML INVESTORS SERVICES, LLC
November 23, 1998 - October 7, 2002
MONY SECURITIES CORPORATION
March 26, 1996 - November 13, 1998
PRUCO SECURITIES, LLC.
February 12, 1992 - February 29, 1996
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/25/2021)
Exams
Series 7TO
Date: 3/19/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/19/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE AFFINITY GROUP, LLC
CRD#: 283819 / SEC#: 801-107966
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 426,272 |
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.
