Nickolas J. Nickols
Professional Summary
Nickolas J. Nickols, who also goes by Nickolas James Nickols, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky. Nickolas is registered as a RR (Registered Representative) and started their career in finance in 2017. Nickolas has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 6, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nickolas James Nickols
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
Contact Information
Main Address
900 Salem Street, Smithfield, RI 02917Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262Phone Number
(617) 563-7000Established
Delaware since 06/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | — |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| KRUGMAN, JOSHUA D | HEAD OF BROKERAGE PRODUCT & OFFERINGS | 4461267 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| RICHARD, STEPHEN R | HEAD OF FIDELITY INSTITUTIONAL WEALTH MANAGEMENT SERVICES | 3113456 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL | — |
Disclosures
Regulatory Event
24Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/16/2022)
(3/11/2022)
(3/18/2022)
(3/11/2022)
(3/11/2022)
(3/11/2022)
(3/10/2022)
(3/23/2022)
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(3/11/2022)
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(3/10/2022)
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(3/28/2022)
(8/12/2025)
(3/15/2022)
(3/14/2022)
(4/1/2022)
(3/10/2022)
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(3/10/2022)
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(3/14/2022)
(3/17/2022)
(3/10/2022)
(3/10/2022)
(3/14/2022)
(3/15/2022)
(3/14/2022)
(3/11/2022)
(3/14/2022)
(3/15/2022)
(3/21/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2017About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2026About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2026About the Series 10 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nickolas J. Nickols's CRS (Customer Relationship Summary).
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