Nicole Sapienza

STRATEGIC ADVISERS | Planning Consultant

WANTAGH, NY

Some features on this profile are disabled

CRD#: 4883314

Professional summary

Nicole Sapienza, who also goes by Nichole L Cohen, Nicole L Cohen, Nicole L Sapienza, Nicole Leah Sapienza, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Wantagh, New York and FIDELITY BROKERAGE SERVICES LLC located in Plainview, New York.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nicole has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

My first priority is that clients have a general understanding about their investments and I take time to educate them.  From there, together we create a plan that suits their individual needs and goals. Building a plan is the foundation and I've found that clients with a plan stay the course for future financial success. Providing exceptional service, guidance and an open line of communication with consistent check-ins. Bringing peace of mind and organization to a sometimes complex process. 

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nichole L Cohen | Nicole L Cohen | Nicole L Sapienza | Nicole Leah Sapienza

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) - RIA

Click below to view Nicole Sapienza'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

Education

University of Phoenix

Associate of Applied Business - Financial Services

2009

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 1551 Old Country Rd, Plainview, NY 11803-5014

RIA

CRD#: 104555

WANTAGH, NY

Current

June 24, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 1551 Old Country Road, Plainview, NY 11803

CRD#: 7784

Plainview, NY

Past

July 1, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

PLAINVIEW, NY

Past

October 5, 2020 - March 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MELVILLE, NY

Past

September 10, 2020 - March 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MELVILLE, NY

Past

January 16, 2019 - August 18, 2020

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

Past

March 25, 2015 - January 17, 2019

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291

DALLAS, TX

Past

October 11, 2011 - April 14, 2015

RIDGEWAY & CONGER, INC.

CRD#: 113055

NEW WOODSTOCK, NY

Past

April 29, 2008 - October 4, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

October 2, 2006 - April 14, 2008

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

June 2, 2006 - June 15, 2006

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

January 19, 2005 - January 4, 2006

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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

Arizona
(11/14/2022)

California
(1/6/2024)

Colorado
(1/6/2024)

Connecticut
(6/24/2022)

Delaware
(1/7/2026)

Florida
(6/27/2022)

Georgia
(11/14/2022)

Iowa
(11/14/2022)

Louisiana
(11/14/2022)

Maine
(11/14/2022)

Maryland
(1/7/2026)

Massachusetts
(11/14/2022)

Nevada
(11/14/2022)

New Hampshire
(1/6/2024)

New Jersey
(6/29/2022)

New York
(6/27/2022)

IAR

New York
(3/31/2025)

North Carolina
(11/14/2022)

Oregon
(11/14/2022)

Pennsylvania
(11/14/2022)

South Carolina
(11/14/2022)

South Dakota
(1/7/2026)

Texas
(11/14/2022)

IAR

Texas
(3/31/2025)

Vermont
(11/14/2022)

Virginia
(11/14/2022)

Washington
(11/14/2022)

Wisconsin
(1/7/2026)

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 66

Date: 10/2/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicole Sapienza

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Sapienza's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Phoenix

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DAVID LERNER ASSOCIATES, INC.

INSTITUTIONAL SECURITIES CORPORATION

RIDGEWAY & CONGER, INC.

OPPENHEIMER & CO. INC.

H.C.WAINWRIGHT & CO., LLC

CANACCORD GENUITY SECURITIES LLC

GUNNALLEN FINANCIAL, INC

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2020

Series 63

Date: 4/4/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2004

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors