Ralph A. Nicosia
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.
Ralph Anthony Nicosia, CFP®, who also goes by Anthony Nicosia, Ra Nicosia, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1994. Ralph had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
March 7, 2025 - June 17, 2026
AE WEALTH MANAGEMENT, LLC
August 10, 2023 - January 10, 2025
UMB FINANCIAL SERVICES, INC.
August 3, 2023 - January 10, 2025
UMB FINANCIAL SERVICES, INC.
November 10, 2022 - August 3, 2023
UMB ASSET MANAGEMENT, LLC
November 9, 2015 - November 9, 2022
UMB FINANCIAL SERVICES, INC.
November 9, 2015 - November 9, 2022
UMB FINANCIAL SERVICES, INC.
May 26, 2015 - June 5, 2015
BB&T INVESTMENT SERVICES, INC.
May 21, 2015 - June 5, 2015
BB&T INVESTMENT SERVICES, INC.
January 3, 2011 - March 31, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 31, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 16, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 7, 2007 - April 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2007 - April 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2006 - February 26, 2007
WELLS FARGO INVESTMENTS, LLC
July 27, 2006 - February 26, 2007
WELLS FARGO INVESTMENTS, LLC
March 13, 2003 - June 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 5, 2003 - June 20, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 12, 1994 - February 21, 2003
CITIGROUP GLOBAL MARKETS INC.
October 8, 1994 - February 21, 2003
CITIGROUP GLOBAL MARKETS INC.
August 3, 1994 - August 31, 1994
J. GREGORY & COMPANY, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
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.
