Nicole Nittoli

Some features on this profile are disabled

CRD#: 2887460

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.

Nicole Nittoli, who also goes by Nicole Nittoli, Nicole Sammarco, Nikki Sammarco, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2004. Nicole had worked at 3 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicole Nittoli | Nicole Sammarco | Nikki Sammarco

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 18, 2015 - December 31, 2020

VAUGHAN AND COMPANY SECURITIES, INC.

CRD#: 18826

RIDGEWOOD, NJ

Past

December 21, 2005 - March 4, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

FAIRFIELD, NJ

Past

September 2, 2004 - September 22, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

VAUGHAN AND COMPANY SECURITIES, INC.

CRD#: 18826 / SEC#: 801-118757, 8-36916

RIA

Registered Investment Advisory firm - SEC (5/15/2020 Approved)

Connecticut

Registered Investment Advisory firm - SEC (6/23/2020 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/22/2020 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/22/2020 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (12/31/2019 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - SEC (6/22/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/31/2019 Terminated)

Terminated by SEC on 02/21/2021

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/1/2004

General Securities Representative Examination

Current Firm

VAUGHAN AND COMPANY SECURITIES, INC.

CRD#: 18826 / SEC#: 801-118757, 8-36916

RIA

Registered Investment Advisory firm - SEC (5/15/2020 Approved)

Connecticut

Registered Investment Advisory firm - SEC (6/23/2020 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/22/2020 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/22/2020 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (12/31/2019 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - SEC (6/22/2020 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/31/2019 Terminated)

Terminated by SEC on 02/21/2021

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

68 Passaic Street, Ridgewood, NJ 07450-9901

Mailing Address

Phone number

(201) 444-1361

Established

New Jersey since 10/22/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (2/18/2025)

Direct owners and executive officers

Name	Position	CRD#
JAMES D. VAUGHAN JR.GRANTOR TRUST	SHAREHOLDER
VAUGHAN, JAMES DANIEL III	CHIEF COMPLIANCE OFFICER	1330813
VAUGHAN, JAMES DANIEL III	CEO, CFO, PRESIDENT, TRUSTEE	1330813
VAUGHAN, JAMES DANIEL JR	REGISTERED REPRESENTATIVE	453737

Regulatory assets under management

Total Number of Accounts	458
AUM (Assets Under Management)	$ 280,000,000

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicole Nittoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VAUGHAN AND COMPANY SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

VAUGHAN AND COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 9/1/2004

Current Firm

VAUGHAN AND COMPANY SECURITIES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VAUGHAN AND COMPANY SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors