Nickolas A Smith
CFP®Professional Summary
Nickolas A Smith, CFP®, who also goes by Nickolas Alan Smith, is a registered financial advisor currently at PARALEL DISTRIBUTORS located in New York, New York. Nickolas is registered as a RR (Registered Representative) and started their career in finance in 2006. Nickolas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nickolas Alan Smith
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Credentials
Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
PARALEL DISTRIBUTORS | PARALEL DISTRIBUTORS LLC
Contact Information
Main Address
1700 Broadway Suite 2100, Denver, CO 80290Mailing Address
1700 Broadway Suite 2100, Denver, CO 80290Phone Number
(303) 378-0364Established
Delaware since 06/21/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
(10/3/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - BD
Click below to view Nickolas A Smith's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED