Nicholas J. Mucci

STRATEGIC ADVISERS LLC

CORNELIUS, NC

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CRD#: 5485887

Professional summary

Nicholas James Mucci, who also goes by Nicholas J Mucci, Nicholas Mucci, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Cornelius, North Carolina and FIDELITY BROKERAGE SERVICES LLC located in Charlotte, North Carolina.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas J Mucci | Nicholas Mucci

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 Nicholas James Mucci'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 5335 Ballantyne Commons Pkwy Suite 100, Charlotte, NC 28277-0693

RIA

CRD#: 104555

CORNELIUS, NC

Current

November 8, 2023 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 5335 Ballantyne Commons Parkway Suite 100, Charlotte, NC 28277

CRD#: 7784

Charlotte, NC

Past

June 5, 2024 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CHARLOTTE, NC

Past

December 8, 2014 - August 14, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

CHARLOTTE, NC

Past

December 8, 2014 - August 14, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

CHARLOTTE, NC

Past

October 13, 2008 - November 26, 2014

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

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

Massachusetts
(5/27/2025)

North Carolina
(11/8/2023)

IAR

North Carolina
(3/31/2025)

South Carolina
(1/6/2024)

Texas
(1/6/2024)

IAR

Texas
(3/31/2025)

Utah
(5/27/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/6/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 12/18/2020

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/20/2020

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/2017

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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

Nicholas J. Mucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas James Mucci's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/2014

Series 63

Date: 10/21/2008

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2011

Series 6

Date: 10/10/2008

Series 9

Date: 12/18/2020

Series 10

Date: 11/20/2020

Series 24

Date: 11/17/2017

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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