Nicholas Versetto
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CRD#: 5438987
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.
Nicholas Versetto, who also goes by Nicholas J Versetto III, Nicholas J Versetto, Nicholas Joseph Versetto, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2007. Nicholas had 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
Nicholas J Versetto Iii | Nicholas J Versetto | Nicholas Joseph Versetto
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.
I*135033 For profit or not for profit: For-Profit Organization Name of outside business organization: BSO Properties LLC Investment related: N Address of business: Frankfort, Illinois 60423 Nature of business: LLC Position, title, association: Owner, Start date of relationship: 10/6/2015 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: BSO Properties owns and manages rental properties in Illinois. I*135035 For profit or not for profit: For-Profit Organization Name of outside business organization: Hole in One Holdings INC. Investment related: N Address of business: Frankfort, Illinois 60423 Nature of business: Corporation Position, title, association: Owner, Start date of relationship: 8/26/2019 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Manage a local restaurant in Oak Forest, IL named Doug's Dogs I*135036 For profit or not for profit: For-Profit Organization Name of outside business organization: Caddyshack Properties LLC Investment related: Y Address of business: Frankfort, Illinois 60423 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 9/19/2019 Number of hours devoted: 10 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: Entity that owns commercial property located at 6200 w 159th st. Oak Forest, IL 60452 Rental Property- Tinley Park, IL 60487; Affiliation started 10/01/2015; Title: Landlord; Duties: Collect rent, market properties, maintenance; No time devoted during security trading hours; Mokena, IL 60448; Affiliation started 10/01/2015; Title: Landlord; Duties: Collect rent, market properties, maintenance; No time devoted during security trading hours; 50 hours are devoted to the business each month outside of security trading hours. ///// Rental Property-Orland Hills, IL 60487; Affiliation started 10/01/2015; Title: Landlord; Duties: Collect rent, market properties, maintenance; No time devoted during security trading hours; 50 hours are devoted to the business each month outside of security trading hours.
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®
NoneExperience
Past
March 24, 2021 - October 27, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAINT PETERSBURG, FL
Past
November 30, 2020 - October 27, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAINT PETERSBURG, FL
Past
February 26, 2020 - November 27, 2020
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Chicago, IL
Past
August 14, 2019 - November 27, 2020
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Chicago, IL
Past
October 30, 2018 - August 2, 2019
SANCTUARY SECURITIES, INC.
BD
CRD#: 205
Lake Forest, IL
Past
December 14, 2015 - April 26, 2018
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SCHAUMBURG, IL
Past
December 19, 2011 - September 23, 2015
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WESTERN SPRINGS, IL
Past
December 5, 2007 - November 8, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LA GRANGE, IL
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".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Financial AdvisorCRD#: 7691TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
