Jack R. Nicklis

RIOUX & COMPANY

SOUTHINGTON, CT

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CRD#: 5768951

Professional summary

Jack R Nicklis is a registered financial advisor currently at RIOUX & COMPANY, LLC located in Southington, Connecticut.

Jack is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Jack has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

JACK NICKLIS, CPA 1985 WEST STREET #37 SOUTHINGTON, CT. 06489 SOLE PROPRIETOR ENGAGED IN PUBLIC ACCOUNTING NON-INVESTMENT RELATED 07-06-2013 TO PRESENT VARIABLE HOURS 25-40 / WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack R Nicklis's 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

December 10, 2013 - Present

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

SOUTHINGTON, CT

Past

June 22, 2010 - December 31, 2011

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

BURLINGTON, CT

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(12/10/2013)

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 65

Date: 6/21/2010

Uniform Investment Adviser Law Examination

Current Firm

RIOUX & COMPANY, LLC

RIOUX & COMPANY, LLC | RIOUX, BROWN AND COMPANY, LLC | RIOUX & COMPANY, LLC/RIOX WEALTH MANAGEMENT

CRD#: 42043 / SEC#: 801-64933, 8-49670

RIA

Registered Investment Advisory firm - SEC (2/6/2013 Cancelled)

Connecticut

Registered Investment Advisory firm - SEC (1/2/2013 Approved)

Terminated by SEC on 01/21/2006

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Contact information

Main Address

Burlington, CT

Mailing Address

P.o. Box 958, Bristol, CT 06011-0958

Phone number

(860) 589-8754

Established

Connecticut since 04/25/1996

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RIOUX, DAVID ARTHUR	MANAGING DIRECTOR CCO; CROP; SROP.	710871
RIOUX CAPITAL PARTNERS, LLC	OWNER

Regulatory assets under management

Total Number of Accounts	123
AUM (Assets Under Management)	$ 20,463,947

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Jack R. Nicklis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jack R Nicklis's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIOUX & COMPANY, LLC

RIOUX & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2010

Current Firm

RIOUX & COMPANY, LLC

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RIOUX & COMPANY, LLC

TRUST BUT VERIFY

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