ND
Nicholas Dotson
ROBINHOOD ASSET MANAGEMENT
Denver, CO
Some features on this profile are disabled
CRD#: 6763191
ND
Professional summary
Nicholas Dotson, who also goes by Nicholas Adam Dotson, Nick Dotson, is a registered financial advisor currently at ROBINHOOD ASSET MANAGEMENT located in Denver, Colorado and ROBINHOOD FINANCIAL, LLC located in Denver, Colorado.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 5 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Adam Dotson | Nick Dotson
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 Dotson'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
February 24, 2026 - Present
ROBINHOOD ASSET MANAGEMENT
RIA
CRD#: 323736
Denver, CO
Current
October 4, 2024 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 2373 15th St Suite 300, Denver, CO 80202BD
CRD#: 165998
Denver, CO
Past
November 6, 2023 - October 2, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
GREENWOOD VILLAGE, CO
Past
September 8, 2023 - October 2, 2024
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
July 10, 2020 - August 8, 2023
ROBINHOOD FINANCIAL, LLC
BD
CRD#: 165998
Denver, CO
Past
December 3, 2019 - June 10, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PLANTATION, FL
Past
August 26, 2019 - June 10, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PLANTATION, FL
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".
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
Registered Investment Advisory firm - (1/14/2025 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(10/4/2024)
RR
Alaska(10/4/2024)
RR
Arizona(10/4/2024)
RR
Arkansas(10/4/2024)
RR
California(10/4/2024)
IAR
California(2/25/2026)
RR
Colorado(10/4/2024)
IAR
Colorado(2/24/2026)
RR
Connecticut(10/4/2024)
RR
Delaware(10/4/2024)
RR
District of Columbia(10/4/2024)
RR
Florida(10/4/2024)
RR
Georgia(10/4/2024)
RR
Hawaii(10/4/2024)
RR
Idaho(10/4/2024)
RR
Illinois(10/4/2024)
RR
Indiana(10/4/2024)
RR
Iowa(10/4/2024)
RR
Kansas(10/4/2024)
RR
Kentucky(10/4/2024)
RR
Louisiana(10/4/2024)
RR
Maine(10/4/2024)
RR
Maryland(10/4/2024)
RR
Massachusetts(10/4/2024)
RR
Michigan(10/4/2024)
RR
Minnesota(10/4/2024)
RR
Mississippi(10/4/2024)
RR
Missouri(10/4/2024)
RR
Montana(10/4/2024)
RR
Nebraska(10/4/2024)
RR
Nevada(10/4/2024)
RR
New Hampshire(10/4/2024)
RR
New Jersey(10/4/2024)
RR
New Mexico(10/4/2024)
RR
New York(10/4/2024)
RR
North Carolina(10/4/2024)
RR
North Dakota(10/4/2024)
RR
Ohio(10/4/2024)
RR
Oklahoma(10/4/2024)
RR
Oregon(10/4/2024)
RR
Pennsylvania(10/4/2024)
RR
Puerto Rico(10/4/2024)
RR
Rhode Island(10/4/2024)
RR
South Carolina(10/4/2024)
RR
South Dakota(10/4/2024)
RR
Tennessee(10/4/2024)
RR
Texas(10/4/2024)
RR
Utah(10/4/2024)
RR
Vermont(10/4/2024)
RR
Virgin Islands(10/4/2024)
RR
Virginia(10/4/2024)
RR
Washington(10/4/2024)
RR
West Virginia(10/4/2024)
RR
Wisconsin(10/4/2024)
RR
Wyoming(10/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/26/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
Registered Investment Advisory firm - (1/14/2025 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
85 Willow Road, Menlo Park, CA 94025
Mailing Address
Phone number
650-940-2700 EXT 31450
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 81,015 |
| AUM (Assets Under Management) | $ 158,695,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
