NS
Nicholas R. Sposito
INVESCO ADVISERS
Atlanta, GA 30309
Some features on this profile are disabled
CRD#: 6492715
NS
Professional summary
Nicholas R Sposito, who also goes by Nicholas R Sposito, Nicholas Robert Sposito, Nicholas Sposito, Nick Sposito, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Atlanta, Georgia and INVESCO DISTRIBUTORS, INC. located in Atlanta, Georgia.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas R Sposito | Nicholas Robert Sposito | Nicholas Sposito | Nick Sposito
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.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas R Sposito'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
January 30, 2023 - Present
INVESCO ADVISERS, INC.
Office #1: 1331 Spring Street Nw Suite 2500, Atlanta, GA 30309RIA
CRD#: 105360
Atlanta, GA
Current
January 30, 2023 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 1331 Spring Street Nw Suite 2500, Atlanta, GA 30309BD
CRD#: 7369
Atlanta, GA
Past
January 11, 2022 - January 19, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Alpharetta, GA
Past
November 12, 2021 - January 19, 2023
MORGAN STANLEY
BD
CRD#: 149777
Alpharetta, GA
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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 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(1/30/2023)
RR
Alaska(1/30/2023)
RR
Arizona(1/30/2023)
RR
Arkansas(1/30/2023)
RR
California(1/30/2023)
RR
Colorado(1/30/2023)
RR
Connecticut(1/30/2023)
RR
Delaware(1/30/2023)
RR
District of Columbia(1/30/2023)
RR
Florida(1/30/2023)
RR
Georgia(1/30/2023)
IAR
Georgia(2/1/2023)
RR
Hawaii(1/30/2023)
RR
Idaho(1/30/2023)
RR
Illinois(1/30/2023)
RR
Indiana(1/30/2023)
RR
Iowa(1/30/2023)
RR
Kansas(1/30/2023)
RR
Kentucky(1/30/2023)
RR
Louisiana(1/30/2023)
RR
Maine(1/30/2023)
RR
Maryland(1/30/2023)
RR
Massachusetts(1/30/2023)
RR
Michigan(1/30/2023)
RR
Minnesota(1/30/2023)
RR
Mississippi(1/30/2023)
RR
Missouri(1/30/2023)
RR
Montana(1/30/2023)
RR
Nebraska(1/30/2023)
RR
Nevada(1/30/2023)
RR
New Hampshire(1/30/2023)
RR
New Jersey(1/30/2023)
RR
New Mexico(1/30/2023)
RR
New York(1/30/2023)
RR
North Carolina(1/30/2023)
RR
North Dakota(1/30/2023)
RR
Ohio(1/30/2023)
RR
Oklahoma(1/30/2023)
RR
Oregon(1/30/2023)
RR
Pennsylvania(1/30/2023)
RR
Puerto Rico(1/30/2023)
RR
Rhode Island(1/30/2023)
RR
South Carolina(1/30/2023)
RR
South Dakota(1/30/2023)
RR
Tennessee(1/30/2023)
RR
Texas(1/30/2023)
IAR
Texas(1/30/2023)
RR
Utah(1/30/2023)
RR
Vermont(1/30/2023)
RR
Virgin Islands(1/30/2023)
RR
Virginia(1/30/2023)
RR
Washington(1/30/2023)
RR
West Virginia(1/30/2023)
RR
Wisconsin(1/30/2023)
RR
Wyoming(1/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/12/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
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Contact information
Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 09/27/2024 | ||
| 10/27/2023 |
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.
