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NK

Nicholas M. Koup

Some features on this profile are disabled
CRD#: 6135931
NK

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.

Nicholas Marshall Koup was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2012. Nicholas had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
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

December 2, 2013 - October 1, 2014

WASHINGTON TRUST ADVISORS

RIA
CRD#: 110407
WELLESLEY, MA
Past

December 20, 2012 - October 1, 2014

WESTON SECURITIES CORPORATION

BD
CRD#: 15743
WELLESLEY, MA

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".
WT
WASHINGTON TRUST ADVISORS
WASHINGTON TRUST ADVISORS | WESTONFINANCIAL | WESTON FINANCIAL GROUP INC. | WESTON FINANCIAL GROUP INC | WESTON FINANCIAL | WASHINGTON TRUST WEALTH MANAGEMENT | WASHINGTON TRUST ADVISORS, INC.

CRD#: 110407 / SEC#: 801-18403

RIA
Registered Investment Advisory firm - (2/11/1983 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2012
General Securities Representative Examination

Current Firm

WT
WASHINGTON TRUST ADVISORS
WASHINGTON TRUST ADVISORS | WESTONFINANCIAL | WESTON FINANCIAL GROUP INC. | WESTON FINANCIAL GROUP INC | WESTON FINANCIAL | WASHINGTON TRUST WEALTH MANAGEMENT | WASHINGTON TRUST ADVISORS, INC.

CRD#: 110407 / SEC#: 801-18403

RIA
Registered Investment Advisory firm - (2/11/1983 Approved)
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Contact information

Main Address
20 William St Suite 135, Wellesley, MA 02481
Mailing Address
Phone number
(781) 235-7055
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (20 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WASHINGTON TRUST ADVISOR'S FORM PART 2A (9/3/2025)
WASHINGTON TRUST ADVISOR'S FORM PART 2B (9/3/2025)

Regulatory assets under management

Total Number of Accounts1,356
AUM (Assets Under Management)$ 1,999,516,447

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

WASHINGTON TRUST ADVISORS

CRD#: 110407

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