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Nickolas J. Alleva

SUTTER SECURITIES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 5402661
NA

Professional summary

Nickolas Joseph Alleva, who also goes by Nickolas Joseph Alleva, is a registered financial professional currently at SUTTER SECURITIES INCORPORATED located in Boca Raton, Florida.

Nickolas is registered as a RR (Registered Representative) and started their career in finance in 2007. Nickolas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nickolas Joseph Alleva

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) - BD

Click below to view Nickolas Joseph Alleva'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

Experience

Current

November 7, 2025 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 2500 N. Military Trail Suite 306, Boca Raton, FL 33431
BD
CRD#: 30770
Boca Raton, FL
Past

August 8, 2016 - November 3, 2025

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
NEW YORK, NY
Past

April 25, 2014 - August 8, 2016

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

May 29, 2008 - August 18, 2008

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

August 30, 2007 - April 16, 2008

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
WOODBURY, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(11/7/2025)
RR
Colorado
(11/7/2025)
RR
Florida
(11/7/2025)
RR
New Jersey
(11/7/2025)
RR
New York
(11/7/2025)
RR
Texas
(11/7/2025)
RR
Utah
(11/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/20/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/24/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SS
SUTTER SECURITIES INCORPORATED
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED

CRD#: 30770 / SEC#: , 8-45158

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618
Phone number
(415) 352-6300
Established
California since 07/22/1992
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS)SHAREHOLDER
BULL, ROBERT LEE IVFINOP1521134
CHOMATIL, NEHRU SUBRAMANIANCHIEF COMPLIANCE OFFICER2342004
MALEY, ROBERT ANDREWEXECUTIVE VICE PRESIDENT2442794
MATTHEWS, GILBERT ELLIOTTSR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN
SMITH, LINCOLN JOSEPH JRPRESIDENT, CEO2501422

Disclosures

Regulatory Event2
Bond1

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

SUTTER SECURITIES INCORPORATED

CRD#: 30770Boca Raton, FL 33431

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