Nicola S. Nichol

ROSSBY FINANCIAL

Fernandina, FL 32034

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CRD#: 4956896

Professional summary

Nicola S Nichol, CFA is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Fernandina, Florida.

Nicola is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Nicola has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicola S Nichol'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®

CFA

Chartered Financial Analyst

Experience

Current

December 12, 2025 - Present

ROSSBY FINANCIAL, LLC

Office #1: 2338 S. 8th. St.,, Fernandina, FL 32034

RIA

CRD#: 8174

JACKSONVILLE, 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".

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 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.

Highlighted states indicate IAR registrations

IAR

Florida
(12/12/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/13/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/10/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/2005

General Securities Representative Examination

Current Firm

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

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Contact information

Main Address

2412 Irwin Street, Melbourne, FL 32901

Mailing Address

Phone number

(321) 209-0111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSSBY WRAP BROCHURE 2025 (3/4/2025)

ROSSBY ADV PART 2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	804
AUM (Assets Under Management)	$ 358,627,117

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.

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Advisor Monitoring

Firm Stability Insights

Nicola S. Nichol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicola S Nichol's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSSBY FINANCIAL, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ROSSBY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2005

SIE

Date: 10/1/2018

Series 31

Date: 8/10/2005

Series 7

Date: 6/21/2005

Current Firm

ROSSBY FINANCIAL, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSSBY FINANCIAL, LLC

TRUST BUT VERIFY

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