ND
Nicholas Dotson
ROBINHOOD FINANCIAL
Denver, CO 80202
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CRD#: 6763191
ND
Professional summary
Nicholas Dotson, who also goes by Nicholas Adam Dotson, Nick Dotson, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Denver, Colorado.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2019. Nicholas has worked at 4 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
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
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
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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)
RR
Colorado(10/4/2024)
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
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
