Nicholas E. Livecchi
FOUNDERS FINANCIAL ALLIANCE
Raleigh, NC 27615
Some features on this profile are disabled
CRD#: 5885664
Professional summary
Nicholas E Livecchi, CFP®, who also goes by Nicholas Edward Livecchi, is a registered financial advisor currently at FOUNDERS FINANCIAL ALLIANCE, LLC located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Raleigh, North Carolina.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Comprehensive Financial Planni...
Insurance Planning
Business Succession Planning
Divorce Planning
Estate Planning
Investment Planning
Employee and Employer Plan Ben...
Retirement Planning
Small Business Planning
Are you a "fiduciary"?
Yes
Aliases
Nicholas Edward Livecchi
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.
1) 02/18/2021 - DBA for LPL Business (entity for LPL business) - The Sovran - Investment Related - Raleigh, NC 27615 - Start date: 02/21 2) 02/18/2021 - DBA for LPL Business (entity for LPL business) - Sovran Wealth & Retirement - Investment Related - Raleigh, NC 27615 - Start date: 02/18/2021 3)02/18/2021 - Rental Property - Real Estate Rental - Investment Related - 3637 Bison Hill Ln Raleigh, NC 27604-5006 - Start date: 2012 4) 2/23/2021 - Founder Wealth Advisory - DBA: (Hybrid) Founders Financial Alliance, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 2/21 - 80 Hours Per Month - Time Spent 50% - I provide investment advisory services through Founders Financial Alliance, LLC, an independent investment advisor firm. I started this business activity in 2/2021. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 9/8/2021 - Asset Insure, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 6) 11/03/2021 - Konoba Real Estate LLC - Investment Related - Home Based - Mortgage/Real Estate Services - Start Date: 07/01/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 7) 01/20/2022 - Finding the "Right Fit" Financial Advisor - Not Investment Related - Home Based - Other-Book - Author/Creator - Start Date: 12/31/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 8) 11/14/2022 - Financial Strategies Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 09/01/2022 - 1 Hours Per Month/1 Hours During Securities Trading 9) 01/17/2024 - Mission Lifestyle - Inv related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/20/2024 - 10 Hrs/mo; 0 Hrs During Trading. 10) 01/17/2024 - The Sovran Lifestyle Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/20/2021 - 160 Hrs/Mo During Trading 11) 10/31/2024 - CPS insurance - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 04/28/2024 - 1 Hour Per Month/ During Trading 12) 07/10/2025 - SWA, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/10/2025 - 1 Hour Per Month/ 0 hr During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas E Livecchi'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®
CFP®
Start date: 2016
Experience
Current
February 19, 2021 - Present
FOUNDERS FINANCIAL ALLIANCE, LLC
Office #1: 9212 Falls Of Neuse Road Suite 221, Raleigh, NC 27615RIA
CRD#: 173011
Raleigh, NC
Current
February 18, 2021 - Present
LPL FINANCIAL LLC
Office #2: 9212 Falls Of Neuse Rd Ste 221, Raleigh, NC 27615RIA
BD
CRD#: 6413
RALEIGH, NC
Past
April 11, 2011 - February 19, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RALEIGH, NC
Past
March 18, 2011 - February 19, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
RALEIGH, 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".
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)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.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
Alaska(2/24/2021)
RR
Arkansas(7/15/2021)
RR
Colorado(2/18/2021)
RR
Florida(7/26/2025)
RR
Georgia(2/18/2021)
RR
Louisiana(2/18/2021)
RR
Minnesota(2/18/2021)
RR
North Carolina(2/18/2021)
IAR
North Carolina(2/19/2021)
RR
Pennsylvania(3/31/2021)
RR
South Carolina(2/15/2023)
RR
Texas(7/15/2021)
RR
Virginia(2/18/2021)
RR
West Virginia(2/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FOUNDERS FINANCIAL ALLIANCE, LLC
BRYAN FINANCIAL GROUP | WESTERN COMMUNITY FINANCIAL | THE SOVRAN | OWENS & ASSOCIATES | MJM WEALTH MANAGEMENT, LLC | MITRO WEALTH MANAGEMENT | MAINSAIL TRIANGLE INVESTMENT MANAGEMENT | INNERBANKS WEALTH MANAGEMENT | FOUNDERS WEALTH PARTNERS, LLC | FOUNDERS WEALTH ADVISORS, LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | FOUNDERS FINANCIAL ALLIANCE | FLATFEECIO | FLATFEE CIO | FIDUCIARY ASSET MANAGEMENT | ELITE WEALTH MANAGEMENT, LLC | ELITE WEALTH MANAGEMENT | DU LAC WEALTH SERVICES | DIAMOND & ASSOCIATES WEALTH MANAGEMENT | DEFRANCO FINANCIAL | CORNERSTONE WEALTH ADVISORS | COLONNADE WEALTH MANAGEMENT GROUP, LLC | CECCATO WEALTH PARTNERS, LLC
CRD#: 173011 / SEC#: 801-108700
RIA
Registered Investment Advisory firm - (11/21/2016 Approved)Arizona
Registered Investment Advisory firm - (11/28/2016 Terminated)Arkansas
Registered Investment Advisory firm - (11/28/2016 Terminated)California
Registered Investment Advisory firm - (12/28/2016 Terminated)Connecticut
Registered Investment Advisory firm - (11/29/2016 Terminated)District of Columbia
Registered Investment Advisory firm - (11/28/2016 Terminated)Florida
Registered Investment Advisory firm - (11/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/20/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/21/2016 Terminated)Indiana
Registered Investment Advisory firm - (12/1/2016 Terminated)Iowa
Registered Investment Advisory firm - (11/29/2016 Terminated)Kentucky
Registered Investment Advisory firm - (12/6/2016 Terminated)Louisiana
Registered Investment Advisory firm - (11/29/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2016 Terminated)Michigan
Registered Investment Advisory firm - (12/14/2016 Terminated)Minnesota
Registered Investment Advisory firm - (12/5/2016 Terminated)New Jersey
Registered Investment Advisory firm - (11/29/2016 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2016 Terminated)New York
Registered Investment Advisory firm - (11/28/2016 Terminated)North Carolina
Registered Investment Advisory firm - (11/30/2016 Terminated)Ohio
Registered Investment Advisory firm - (11/28/2016 Terminated)Oregon
Registered Investment Advisory firm - (11/28/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/29/2016 Terminated)South Carolina
Registered Investment Advisory firm - (11/28/2016 Terminated)Tennessee
Registered Investment Advisory firm - (11/28/2016 Terminated)Texas
Registered Investment Advisory firm - (11/28/2016 Terminated)Virginia
Registered Investment Advisory firm - (11/29/2016 Terminated)West Virginia
Registered Investment Advisory firm - (11/28/2016 Terminated)Wisconsin
Registered Investment Advisory firm - (11/29/2016 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9212 Falls Of Neuse Rd., Suite 221, Raleigh, NC 27615
Mailing Address
Phone number
(855) 860-5940
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (30 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,918 |
| AUM (Assets Under Management) | $ 1,002,097,380 |
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
FOUNDERS FINANCIAL ALLIANCE, LLC
CRD#: 173011Raleigh, NC 27615TRUST BUT VERIFY
Monitor Nicholas Livecchi
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
