NS
Nicholas M. Sexton
TOUCHSTONE ADVISORS
CINCINNATI, OH 45202-4203
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CRD#: 6092849
NS
Professional summary
Nicholas Michael Sexton, who also goes by Nick Michael Sexton, Nick Sexton, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Cincinnati, Ohio and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Michael Sexton | Nick Sexton
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.
Provide business-to-business marketing and solicitation activities to downstream intermediaries regarding Separately Managed Accounts and Model Portfolio Delivery options of select advisers contracted with Touchstone Securities. Approximately two hours per business week during trading hours, compensated via an override as percentage of management fee.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Michael Sexton'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®
NoneExperience
Current
October 20, 2021 - Present
TOUCHSTONE ADVISORS INC
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202-4203RIA
CRD#: 107028
CINCINNATI, OH
Current
October 22, 2021 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202BD
CRD#: 1526
CINCINNATI, OH
Past
December 4, 2018 - March 18, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COVINGTON, KY
Past
September 18, 2012 - March 16, 2020
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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".
TA
TOUCHSTONE ADVISORS INC
TOUCHSTONE ADVISORS INC
CRD#: 107028 / SEC#: 801-45963
RIA
Registered Investment Advisory firm - (2/28/1994 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.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
Alabama(11/18/2021)
RR
Alaska(12/21/2022)
RR
Arizona(10/31/2024)
RR
Arkansas(11/18/2021)
RR
California(10/25/2021)
RR
Colorado(10/22/2024)
RR
Connecticut(10/22/2024)
RR
Delaware(10/31/2024)
RR
District of Columbia(1/9/2025)
RR
Florida(1/10/2024)
RR
Georgia(10/25/2021)
RR
Hawaii(11/18/2021)
RR
Idaho(12/7/2022)
RR
Illinois(10/4/2023)
RR
Indiana(10/24/2024)
RR
Iowa(5/9/2023)
RR
Kansas(5/8/2023)
RR
Kentucky(11/17/2021)
RR
Louisiana(10/30/2024)
RR
Maine(10/22/2024)
RR
Maryland(1/10/2024)
RR
Massachusetts(11/13/2024)
RR
Michigan(7/21/2025)
RR
Minnesota(10/21/2024)
RR
Mississippi(11/18/2021)
RR
Missouri(6/6/2023)
RR
Montana(12/7/2022)
RR
Nebraska(5/8/2023)
RR
Nevada(11/17/2021)
RR
New Hampshire(10/24/2024)
RR
New Jersey(10/21/2024)
RR
New Mexico(10/22/2024)
RR
New York(10/24/2024)
RR
North Carolina(10/21/2024)
RR
North Dakota(10/28/2024)
IAR
Ohio(10/20/2021)
RR
Ohio(10/25/2021)
RR
Oklahoma(10/23/2024)
RR
Oregon(1/5/2023)
RR
Pennsylvania(1/9/2024)
RR
Puerto Rico(10/22/2024)
RR
Rhode Island(10/22/2024)
RR
South Carolina(10/22/2024)
RR
South Dakota(10/22/2024)
RR
Tennessee(11/1/2021)
RR
Texas(10/21/2024)
RR
Utah(10/22/2024)
RR
Vermont(10/22/2024)
RR
Virgin Islands(10/21/2024)
RR
Virginia(10/21/2024)
RR
Washington(12/7/2022)
RR
West Virginia(10/24/2024)
RR
Wisconsin(9/26/2023)
RR
Wyoming(10/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TOUCHSTONE ADVISORS INC
TOUCHSTONE ADVISORS INC
CRD#: 107028 / SEC#: 801-45963
RIA
Registered Investment Advisory firm - (2/28/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202-4203
Mailing Address
Phone number
(513) 362-8000
Established
Firm type
Fiscal year end
# of Employees
83
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 29,132,797,072 |
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
TOUCHSTONE ADVISORS INC
CRD#: 107028Cincinnati, OH 45202-4203TRUST BUT VERIFY
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