Casey G. Nicholas
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.
Casey Gavin Nicholas, who also goes by Casey Gavin Nicholas, Casey Nicholas, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2001. Casey had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2023 - April 4, 2025
ADVISORS ASSET MANAGEMENT, INC.
October 23, 2018 - February 8, 2023
TRANSAMERICA CAPITAL, LLC
August 2, 2017 - October 22, 2018
INTEGRITY FUNDS DISTRIBUTOR, LLC
May 16, 2012 - July 20, 2017
FORESIDE FUND SERVICES, LLC
February 5, 2011 - April 16, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 19, 2005 - December 31, 2006
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
March 3, 2003 - January 14, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
December 6, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
January 1, 2002 - September 30, 2002
VFINANCE INVESTMENTS, INC
March 7, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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
Series 55
Date: 6/7/2003
Limited Representative-Equity Trader ExamCurrent Firm
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
