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RN

Robert D. Nicholson

FEF DISTRIBUTORS
New York, NY 10105-4800
Some features on this profile are disabled
CRD#: 3193170
RN

Professional summary

Robert David Nicholson, who also goes by Rob Nicholson, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Nicholson

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) - BD

Click below to view Robert David Nicholson'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®
None

Experience

Current

December 11, 2025 - Present

FEF DISTRIBUTORS, LLC

Office #1: 1345 Avenue Of The Americas, New York, NY 10105-4800
BD
CRD#: 46585
New York, NY
Past

September 30, 2025 - November 18, 2025

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
NEWPORT BEACH, CA
Past

January 25, 2023 - November 18, 2025

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEWPORT BEACH, CA
Past

November 29, 2021 - January 2, 2023

CRESCENT SECURITIES GROUP, INC.

BD
CRD#: 114993
PLANO, TX
Past

January 25, 2018 - July 30, 2019

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

May 8, 2017 - January 19, 2018

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

August 7, 2015 - April 26, 2016

RIDGEWOOD SECURITIES CORPORATION

BD
CRD#: 15453
New York, NY
Past

September 3, 2009 - March 18, 2015

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

April 7, 2004 - June 9, 2009

HINES PRIVATE WEALTH SOLUTIONS LLC

BD
CRD#: 128145
HOUSTON, TX
Past

November 25, 2002 - March 24, 2004

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

March 27, 2002 - October 4, 2002

OXFORD FINANCIAL GROUP

BD
CRD#: 40700
HOUSTON, TX
Past

June 29, 1999 - June 7, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/5/2026)
RR
Alaska
(1/5/2026)
RR
Arizona
(1/5/2026)
RR
Arkansas
(1/5/2025)
RR
California
(1/2/2026)
RR
Colorado
(1/6/2026)
RR
Connecticut
(1/5/2026)
RR
Delaware
(1/6/2026)
RR
District of Columbia
(1/5/2026)
RR
Georgia
(1/29/2026)
RR
Hawaii
(1/23/2026)
RR
Idaho
(1/2/2026)
RR
Illinois
(1/5/2026)
RR
Indiana
(12/15/2025)
RR
Iowa
(1/5/2026)
RR
Kansas
(1/5/2026)
RR
Kentucky
(1/5/2026)
RR
Louisiana
(1/5/2026)
RR
Maine
(1/6/2026)
RR
Maryland
(1/9/2026)
RR
Massachusetts
(12/12/2025)
RR
Michigan
(1/5/2026)
RR
Minnesota
(1/2/2026)
RR
Mississippi
(1/5/2026)
RR
Missouri
(12/12/2025)
RR
Montana
(12/12/2025)
RR
Nebraska
(12/12/2025)
RR
Nevada
(1/5/2026)
RR
New Hampshire
(1/6/2026)
RR
New Jersey
(1/14/2026)
RR
New Mexico
(1/5/2026)
RR
New York
(1/4/2026)
RR
North Carolina
(1/6/2026)
RR
North Dakota
(1/7/2026)
RR
Ohio
(12/12/2025)
RR
Oklahoma
(1/5/2026)
RR
Oregon
(12/15/2025)
RR
Pennsylvania
(1/5/2026)
RR
Rhode Island
(1/2/2026)
RR
South Carolina
(1/2/2026)
RR
South Dakota
(1/2/2026)
RR
Tennessee
(1/5/2026)
RR
Texas
(12/12/2025)
RR
Utah
(12/12/2025)
RR
Vermont
(1/2/2026)
RR
Virginia
(1/2/2026)
RR
Washington
(1/2/2026)
RR
West Virginia
(1/6/2026)
RR
Wisconsin
(12/11/2025)
RR
Wyoming
(1/2/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/30/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC

CRD#: 46585 / SEC#: , 8-51483

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIRST EAGLE INVESTMENT MANAGEMENT, LLCMANAGING MEMBER108260
BRUNO, ROBERTMANAGER2102844
CARULLO, MODESTINO VITOCHIEF COMPLIANCE OFFICER1528768
CONSTANTINO, MICHAELMANAGER2932606
FONG, CHUN WAICHIEF FINANCIAL OFFICER AND FINOP4944446
OCONNOR, DAVIDGENERAL COUNSEL AND MANAGER5077118
RICCIO, FRANK JOSEPHPRESIDENT AND MANAGER4271374

Disclosures

Regulatory Event1

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.

Company Information

FEF DISTRIBUTORS, LLC

CRD#: 46585New York, NY 10105-4800

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