Nicholas A. Macdonald

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CRD#: 6501089

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 Anthony Macdonald, CFP®, who also goes by Nicholas A Macdonald, Nicholas Macdonald, Nicholas Anthony Macdonald, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2015. Nicholas had worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas A Macdonald | Nicholas Macdonald | Nicholas Anthony Macdonald

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.

Insurance Agent Assistant - Start Date: 05/2024 - Non-investment Related - Insurance lines of business: Life, Health, Annuities, and Variable Products - Hours/per week during trading hours: 32

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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Past

November 7, 2024 - January 15, 2025

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

Minneapolis, MN

Past

May 23, 2024 - September 25, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

BLOOMINGTON, MN

Past

May 23, 2024 - September 25, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

BLOOMINGTON, MN

Past

September 8, 2023 - February 29, 2024

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Eden Prairie, MN

Past

September 8, 2023 - February 29, 2024

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Eden Prairie, MN

Past

September 14, 2021 - June 30, 2023

PORTFOLIO MEDICS, LLC

RIA

CRD#: 145958

Minnetonka, MN

Past

January 31, 2017 - June 15, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BLOOMINGTON, MN

Past

January 31, 2017 - June 15, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BLOOMINGTON, MN

Past

September 28, 2015 - August 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SIOUX FALLS, SD

Past

August 11, 2015 - August 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SIOUX FALLS, SD

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".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/28/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/1/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2015

General Securities Representative Examination

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas A. Macdonald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

PORTFOLIO MEDICS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/2024

Series 66

Date: 9/23/2015

Series 7TO

Date: 1/1/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2015

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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