Nicolas Rey

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CRD#: 5765938

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.

Nicolas Rey, who also goes by Nicholas Rey, was a registered financial professional .

Nicolas is a previously registered financial professional and started their career in finance in 2010. Nicolas had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas Rey

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)

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®

None

Experience

Past

February 28, 2025 - December 4, 2025

ALLY INVEST ADVISORS

RIA

CRD#: 170301

Jacksonville, FL

Past

February 14, 2025 - December 4, 2025

ALLY INVEST SECURITIES LLC

CRD#: 136131

CHARLOTTE, NC

Past

June 24, 2024 - October 8, 2024

EDWARD JONES

RIA

CRD#: 250

St Johns, FL

Past

June 21, 2024 - October 8, 2024

EDWARD JONES

CRD#: 250

St Johns, FL

Past

October 2, 2019 - June 20, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

September 16, 2019 - June 20, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

July 14, 2015 - July 1, 2019

BCP SECURITIES, INC.

CRD#: 27063

MIAMI, FL

Past

July 27, 2010 - July 7, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

July 1, 2010 - July 7, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

May 12, 2010 - June 9, 2010

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

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".

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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.

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: 10/1/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/18/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/17/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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Contact information

Main Address

601 S. Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

Phone number

(855) 880-2559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts	76,058
AUM (Assets Under Management)	$ 1,389,572,606

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

Nicolas Rey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLY INVEST SECURITIES LLC

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BCP SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ALLY INVEST ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2019

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2010

Series 10

Date: 12/18/2011

Series 9

Date: 10/17/2011

Current Firm

ALLY INVEST ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLY INVEST ADVISORS

TRUST BUT VERIFY

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