Robert David Nicholson

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAYNE, NJ · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years registered in the securities industry

Current & Past Employments

Current

FEF DISTRIBUTORS, LLCCurrent·CRD# 46585

BD

1. 1345 Avenue Of The Americas, New York, NY 10105-48002. Denver, CO

December 11, 2025 - Present

Past

BLACKROCK INVESTMENT MANAGEMENT, LLCPast·CRD# 108928

RIA

Newport Beach, CA

September 30, 2025 - November 18, 2025

BLACKROCK INVESTMENTS, LLCPast·CRD# 38642

BD

Newport Beach, CA

January 25, 2023 - November 18, 2025

CRESCENT SECURITIES GROUP, INC.Past·CRD# 114993

BD

Plano, TX

November 29, 2021 - January 2, 2023

DWS DISTRIBUTORS, INC.Past·CRD# 37306

BD

Chicago, IL

January 25, 2018 - July 30, 2019

CION SECURITIES, LLCPast·CRD# 15487

BD

New York, NY

May 8, 2017 - January 19, 2018

RIDGEWOOD SECURITIES CORPORATIONPast·CRD# 15453

BD

New York, NY

August 7, 2015 - April 26, 2016

CCO CAPITAL, LLCPast·CRD# 31147

BD

Phoenix, AZ

September 3, 2009 - March 18, 2015

HINES PRIVATE WEALTH SOLUTIONS LLCPast·CRD# 128145

BD

Houston, TX

April 7, 2004 - June 9, 2009

WELLS INVESTMENT SECURITIES,INC.Past·CRD# 15252

BD

Norcross, GA

November 25, 2002 - March 24, 2004

OXFORD FINANCIAL GROUPPast·CRD# 40700

BD

Houston, TX

March 27, 2002 - October 4, 2002

MORGAN STANLEY DW INC.Past·CRD# 7556

BD

Purchase, NY

June 29, 1999 - June 7, 2000

Similar Advisors

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAYNE, NJ · CRD#

Customer Relationship Summary (CRS / 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)

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST EAGLE INVESTMENT MANAGEMENT, LLC	MANAGING MEMBER	108260
BRUNO, ROBERT	MANAGER	2102844
CONSTANTINO, MICHAEL	MANAGER	2932606
DILLON, ERIN KAY	CHIEF COMPLIANCE OFFICER	6173659
FONG, CHUN WAI	CHIEF FINANCIAL OFFICER AND FINOP	4944446
OCONNOR, DAVID	GENERAL COUNSEL AND MANAGER	5077118
RICCIO, FRANK JOSEPH	PRESIDENT AND MANAGER	4271374

Disclosures

Regulatory Event

1

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PARAMUS, NJ · CRD#

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Sales, not investment-related, Rental properties, I own two rental properties in NYC, GA, and TX, Owner, Start Date 11/23/2022, 1 hour per month

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LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

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PARAMUS, NJ · CRD#

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WAYNE, NJ · CRD#

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

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

Florida
(3/16/2026)

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

Puerto Rico
(2/25/2026)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

FINRA

SRO Registrations

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PARAMUS, NJ · CRD#

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAYNE, NJ · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert David Nicholson's CRS (Customer Relationship Summary).

Similar Advisors

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

LPL FINANCIAL LLC

PARAMUS, NJ · CRD#

PROTOCOL WEALTH, LLC

Havertown, PA · CRD#

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAYNE, NJ · CRD#