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Nicholas Alexander Loring

Nicholas A. Loring

MUTUAL SECURITIES | Principal
Greenville, RI 02828
Some features on this profile are disabled
CRD#: 5974514
Nicholas Alexander Loring

Professional summary

Nicholas Alexander Loring, CFP®, CIMA®, who also goes by Nicholas Loring, is a registered financial professional currently at MUTUAL SECURITIES, INC. located in Greenville, Rhode Island.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?
Trust & estate planning
Financial planning
Trading individual securities
Insurance
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
No

Aliases

Nicholas Loring

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) - BD

Click below to view Nicholas Alexander Loring'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®
CFP®

Certified Financial Planner

Start date: 2014

CIMA®

Certified Investment Management Analyst

Experience

Current

March 4, 2026 - Present

MUTUAL SECURITIES, INC.

Office #1: 600 Putnam Pike Ste. 4, Greenville, RI 02828
BD
CRD#: 13092
Greenville, RI
Past

January 18, 2013 - March 4, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
LENOX, MA
Past

January 18, 2013 - March 4, 2026

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
LENOX, MA
Past

November 21, 2011 - January 22, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PROVIDENCE, RI
Past

October 20, 2011 - January 22, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PROVIDENCE, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Massachusetts
(3/4/2026)
RR
Rhode Island
(3/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/19/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MUTUAL SECURITIES, INC.
COWLES, SABOL & COMPANY, INCORPORATED | MUTUAL SECURITIES, INC. OF CALIFORNIA | MUTUAL SECURITIES, INC. | MUTUAL SECURITIES INC., OF CALIFORNIA | MUTUAL SECURITIES INC. OF CALIFORNIA

CRD#: 13092 / SEC#: 801-68443, 8-28580

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
807-a Camarillo Springs Road, Camarillo, CA 93012
Mailing Address
P.o. Box 2864, Camarillo, CA 93011
Phone number
(805) 764-6730
Established
California since 02/04/1982
Firm type
Corporation
Fiscal year end
June
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MUTUAL GROUP, INC.CORPORATION
CLAUSSEN, DAWN MARIECHIEF OPERATING OFFICER5445747
DAMIANI, NICHOLAS ARTHURCHIEF ADMINISTRATIVE OFFICER5669491
JASPER, AARON TCHIEF EXECUTIVE OFFICER5016734
SABOL, RYAN STEPHENMANAGING PRINCIPAL4419285
SHANNON, DEBRA DAWNCHIEF COMPLIANCE OFFICER5021297
VOSS, MITCHELL CRAIGCHAIRMAN1029100

Disclosures

Regulatory Event2
Arbitration8

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

MUTUAL SECURITIES, INC.

PrincipalCRD#: 13092Greenville, RI 02828

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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