Ralph A. Nicosia

AE WEALTH MANAGEMENT

Denver, CO

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CRD#: 2512126

Professional summary

Ralph Anthony Nicosia, CFP®, who also goes by Anthony Nicosia, Ra Nicosia, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Denver, Colorado.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Ralph has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Nicosia | Ra Nicosia

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.

UMB Bank, n.a., investment-related, 1010 Grand Blvd., Kansas City, MO, 64106, investment management services, financial services professional, start date 08/03/2023, 152 hours per month allocated to UMB Bank during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Anthony Nicosia's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

March 7, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #2: 205 N Orange Ave, Sarasota, FL 34236

RIA

CRD#: 282580

Denver, CO

Past

August 10, 2023 - January 10, 2025

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

DENVER, CO

Past

August 3, 2023 - January 10, 2025

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

DENVER, CO

Past

November 10, 2022 - August 3, 2023

UMB ASSET MANAGEMENT, LLC

RIA

CRD#: 306374

Denver, CO

Past

November 9, 2015 - November 9, 2022

UMB FINANCIAL SERVICES, INC.

RIA

CRD#: 17073

DENVER, CO

Past

November 9, 2015 - November 9, 2022

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

DENVER, CO

Past

May 26, 2015 - June 5, 2015

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

SARASOTA, FL

Past

May 21, 2015 - June 5, 2015

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

SARASOTA, FL

Past

January 3, 2011 - March 31, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLORADO SPRINGS, CO

Past

January 3, 2011 - March 31, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLORADO SPRINGS, CO

Past

May 16, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

COLORADO SPRINGS, CO

Past

May 16, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

COLORADO SPRINGS, CO

Past

March 7, 2007 - April 30, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SARASOTA, FL

Past

March 6, 2007 - April 30, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SARASOTA, FL

Past

July 31, 2006 - February 26, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

COLORADO SPRINGS, CO

Past

July 27, 2006 - February 26, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

COLORADO SPRINGS, CO

Past

March 13, 2003 - June 20, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SARASOTA, FL

Past

March 5, 2003 - June 20, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SARASOTA, FL

Past

October 12, 1994 - February 21, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SARASOTA, FL

Past

October 8, 1994 - February 21, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 3, 1994 - August 31, 1994

J. GREGORY & COMPANY, INC.

CRD#: 14892

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/7/2025)

IAR

Florida
(3/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/17/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/2/1994

General Securities Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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.

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Advisor Monitoring

Firm Stability Insights

Ralph A. Nicosia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Anthony Nicosia's CRS (Customer Relationship Summary).

Certified licenses

Experience

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

UMB ASSET MANAGEMENT, LLC

UMB FINANCIAL SERVICES, INC.

UMB FINANCIAL SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

J. GREGORY & COMPANY, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1994

Series 63

Date: 10/14/1994

SIE

Date: 10/1/2018

Series 3

Date: 4/17/1997

Series 7

Date: 8/2/1994

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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