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SN

Sean C. Nicol

MOSAIC WEALTH
SCOTTSDALE, AZ 85253
Some features on this profile are disabled
CRD#: 6635634
SN

Professional summary

Sean C Nicol, who also goes by Sean Nicol, is a registered financial advisor currently at MOSAIC WEALTH located in Scottsdale, Arizona.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sean has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sean Nicol

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) - RIA

Click below to view Sean C Nicol'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®
None

Experience

Current

March 30, 2026 - Present

MOSAIC WEALTH

Office #1: 6720 N Scottsdale Rd St 290, Scottsdale, AZ 85253
RIA
CRD#: 317377
SCOTTSDALE, AZ
Past

November 19, 2021 - January 12, 2026

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Scottsdale, AZ
Past

November 10, 2021 - January 12, 2026

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Scottsdale, AZ
Past

November 6, 2020 - October 8, 2021

OSAIC WEALTH, INC.

RIA
CRD#: 23131
BELLEVUE, WA
Past

November 2, 2020 - October 8, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
BELLEVUE, WA
Past

October 17, 2019 - November 2, 2020

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
SCOTTSDALE, AZ
Past

September 17, 2019 - November 2, 2020

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
SCOTTSDALE, AZ
Past

October 3, 2018 - September 3, 2019

STRATEGY FINANCIAL GROUP

RIA
CRD#: 164531
PHOENIX, AZ
Past

July 6, 2016 - July 20, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Durango, CO
Past

June 13, 2016 - July 20, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
Durango, CO

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".
MW
MOSAIC WEALTH
MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC

CRD#: 317377 / SEC#: 801-122745

RIA
Registered Investment Advisory firm - (11/24/2021 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.

Highlighted states indicate IAR registrations

IAR
Arizona
(3/30/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2016
General Securities Representative Examination

Current Firm

MW
MOSAIC WEALTH
MOSAIC FAMILY WEALTH | MOSAIC WEALTH | MOSAIC FAMILY WEALTH PARTNERS, LLC

CRD#: 317377 / SEC#: 801-122745

RIA
Registered Investment Advisory firm - (11/24/2021 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144
Mailing Address
Phone number
(314) 627-5220
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (21 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

MOSAIC FAMILY WEALTH PARTNERS, LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts4,296
AUM (Assets Under Management)$ 1,638,336,784

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/02/2025
Cover Page
Report
10/29/2024
Cover Page
Report
11/27/2023
Cover Page
Report
01/30/2023
Cover Page
Report

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

MOSAIC WEALTH

CRD#: 317377Scottsdale, AZ 85253

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