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Nicolas Mathurin

Some features on this profile are disabled
CRD#: 4899877
NM

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.

Nicolas Mathurin was a registered financial professional .

Nicolas is a previously registered financial professional and started their career in finance in 2005. Nicolas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 7, 2016 - August 28, 2017

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
Pembroke Pines, FL
Past

October 4, 2016 - August 28, 2017

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PEMBROKE PINES, FL
Past

February 2, 2015 - July 1, 2015

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
PEMBROKE PINES, FL
Past

January 6, 2014 - July 1, 2015

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
PEMBROKE PINES, FL
Past

October 7, 2013 - January 2, 2014

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOCA RATON, FL
Past

May 10, 2010 - May 24, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
HOLLYWOOD, FL
Past

October 19, 2007 - December 9, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

December 6, 2005 - October 18, 2006

WAMU INVESTMENTS, INC.

BD
CRD#: 599
MIAMI, FL
Past

March 29, 2005 - October 11, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 29, 2005 - October 11, 2005

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/12/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/28/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524

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