Nicholas Ventimiglio

GIVING TREE WEALTH ADVISORS

San Ramon, CA 94583

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CRD#: 4595708

Professional summary

Nicholas Ventimiglio is a registered financial advisor currently at GIVING TREE WEALTH ADVISORS located in San Ramon, California and FORTUNE FINANCIAL SERVICES, INC. located in San Ramon, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Nicholas has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1.) NICHOLAS VENTIMIGLIO; AGENT; INSURANCE; START:1/1/2008 2.) NICHOLAS VENTIMIGLIO CDFA, INC.; DIRECT OWNER/Investment Advisor Representative; REGISTERED INVESTMENT ADVISOR; START:4/22/2010 5. Rep is a co-founder of a financial software company called Trade Wrangler, Inc. This company is still in development and has no revenue customers or outside investors. FFS has given conditional approval for this business: Everything must be pre approved before going live. This product cannot be offered to FFS clients as it would be considered a conflict of interest. Rep and John Kim have joined together to create a new RIA, named Giving Tree Wealth Advisors. This is a General Partnership owned 50% by John Kim's S Corp and 50% by Ventimiglio's S Corp [NVCDFA,INC.] This will be A CA registered RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Ventimiglio's 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

March 12, 2021 - Present

GIVING TREE WEALTH ADVISORS

Office #1: 2603 Camino Ramon 200, San Ramon, CA 94583

RIA

CRD#: 312361

San Ramon, CA

Current

February 8, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 2603 Camino Ramon Road Suite 200, San Ramon, CA 94583

CRD#: 42150

San Ramon, CA

Past

July 26, 2012 - August 9, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN RAMON, CA

Past

July 2, 2012 - February 11, 2016

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN RAMON, CA

Past

April 28, 2010 - March 27, 2025

NICHOLAS VENTIMIGLIO, CDFA

RIA

CRD#: 150854

SAN RAMON, CA

Past

July 24, 2007 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

SAN RAMON, CA

Past

July 23, 2007 - February 11, 2016

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN RAMON, CA

Past

February 4, 2005 - July 23, 2007

FINANCIAL TELESIS INC

CRD#: 31012

SAN RAMON, CA

Past

June 18, 2004 - August 13, 2007

KIM FINANCIAL ADVISORS, INC.

RIA

CRD#: 126745

SAN RAMON, CA

Past

September 8, 2003 - July 13, 2004

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

WALNUT CREEK, CA

Past

October 14, 2002 - July 13, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(2/8/2016)

IAR

California
(3/12/2021)

Colorado
(1/5/2022)

Oregon
(2/8/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/12/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GIVING TREE WEALTH ADVISORS

CRD#: 312361 / SEC#:

California

Registered Investment Advisory firm - (3/12/2021 Approved)

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Contact information

Main Address

2603 Camino Ramon 200, San Ramon, CA 94583

Mailing Address

Phone number

(844) 434-6435

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	311
AUM (Assets Under Management)	$ 107,177,910

Red Flags

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Advisor Monitoring

Firm Stability Insights

Nicholas Ventimiglio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Ventimiglio's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

NICHOLAS VENTIMIGLIO, CDFA

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FINANCIAL TELESIS INC

KIM FINANCIAL ADVISORS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2003

Series 63

Date: 10/19/2002

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2008

Series 6

Date: 10/12/2002

FINRA

Current Firm

GIVING TREE WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GIVING TREE WEALTH ADVISORS

TRUST BUT VERIFY

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