NO
Nicholas Ockenga
SENTINEL PENSION ADVISORS.
Hamilton, MA
Some features on this profile are disabled
CRD#: 6700020
NO
Professional summary
Nicholas Ockenga, AIF®, who also goes by N. Cyrus Ockenga, is a registered financial advisor currently at SENTINEL PENSION ADVISORS, LLC. located in Hamilton, Massachusetts and SENTINEL SECURITIES, LLC. located in Wakefield, Massachusetts.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
N. Cyrus Ockenga
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.
Real Estate, Manager. Non investment related. Collect rent, pay bills, maintain property, improve property. 5-10 hours per week. Discover Diamonds Press. Music Publishing & Editorial Publishing. Owner. 5-10 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Ockenga'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®
Experience
Current
September 12, 2018 - Present
SENTINEL PENSION ADVISORS, LLC.
Office #2: 100 Quannapowitt Pkwy Suite 402, Wakefield, MA 01880RIA
CRD#: 109901
Hamilton, MA
Current
July 17, 2018 - Present
SENTINEL SECURITIES, LLC.
Office #1: 100 Quannapowitt Pkwy Suite 300, Wakefield, MA 01880Office #2: 100 Quannapowitt Pkwy Suite 402, Wakefield, MA 01880BD
CRD#: 110942
Wakefield, MA
Past
April 3, 2017 - July 6, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
READING, 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".
SP
SENTINEL PENSION ADVISORS, LLC.
SENTINEL ADVISORS | SENTINEL PENSION ADVISORS, LLC. | SENTINEL PENSION ADVISORS, LLC | SENTINEL PENSION ADVISORS INC | SENTINEL GROUP | SENTINEL FINANCIAL GROUP | SENTINEL BENEFITS & FINANCIAL GROUP
CRD#: 109901 / SEC#: 801-55783
RIA
Registered Investment Advisory firm - (8/5/1998 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
IAR
Arizona(1/4/2019)
IAR
California(1/4/2019)
IAR
Connecticut(1/4/2019)
IAR
Florida(2/20/2019)
IAR
Georgia(3/5/2020)
IAR
Maine(1/21/2020)
IAR
Maryland(1/4/2019)
RR
Massachusetts(7/17/2018)
IAR
Massachusetts(9/12/2018)
IAR
Michigan(1/2/2020)
IAR
Missouri(1/4/2019)
IAR
New Hampshire(1/2/2020)
IAR
New Jersey(1/3/2023)
IAR
New York(9/15/2021)
IAR
North Carolina(1/8/2021)
IAR
Ohio(10/13/2021)
IAR
Oklahoma(1/4/2021)
IAR
Oregon(1/7/2021)
IAR
Pennsylvania(10/25/2022)
IAR
Rhode Island(1/4/2019)
IAR
Texas(1/2/2020)
IAR
Vermont(7/1/2020)
IAR
Virginia(1/4/2019)
IAR
Washington(7/7/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SENTINEL PENSION ADVISORS, LLC.
SENTINEL ADVISORS | SENTINEL PENSION ADVISORS, LLC. | SENTINEL PENSION ADVISORS, LLC | SENTINEL PENSION ADVISORS INC | SENTINEL GROUP | SENTINEL FINANCIAL GROUP | SENTINEL BENEFITS & FINANCIAL GROUP
CRD#: 109901 / SEC#: 801-55783
RIA
Registered Investment Advisory firm - (8/5/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Quannapowitt Pkwy Suite 402, Wakefield, MA 01880
Mailing Address
Phone number
(781) 914-1450
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,113 |
| AUM (Assets Under Management) | $ 10,730,228,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 09/23/2024 | ||
| 10/23/2023 |
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.
