NT
Nicholas Thompson
CITY NATIONAL ROCHDALE
Pompton Plains, NJ
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CRD#: 6845777
NT
Professional summary
Nicholas Thompson, who also goes by Nick Thompson, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Pompton Plains, New Jersey and CNR SECURITIES, LLC located in New York, New York.
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 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Thompson
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.
1) Name of Entity: Rental Property Non-investment related Address of OBA: 209 Edgar Ave Aston PA 19014 Nature of OBA: Rental property income Position/Title/Relationship: I own two rental properties which are held by me and wife personally (not within an LLC or any other type of company) Start date: 01/04/20 Time devoted: 2 hours per month; 0 during securities trading hours Duties: I act as the property manager which includes taking tenant phone calls, bookkeeping, and completing maintenance on the properties as needed
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Thompson'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
August 3, 2023 - Present
CITY NATIONAL ROCHDALE
Office #2: 400 Park Avenue, New York, NY 10022RIA
CRD#: 117198
Pompton Plains, NJ
Current
April 11, 2023 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022BD
CRD#: 18466
NEW YORK, NY
Past
August 20, 2019 - April 11, 2023
HARTFORD FUNDS DISTRIBUTORS, LLC
BD
CRD#: 45995
Wayne, PA
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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 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(5/17/2023)
RR
Arizona(5/17/2023)
RR
California(4/11/2023)
RR
Connecticut(5/17/2023)
RR
District of Columbia(5/17/2023)
RR
Florida(5/17/2023)
RR
Illinois(5/17/2023)
RR
Kansas(5/17/2023)
RR
Kentucky(5/17/2023)
RR
Maine(5/17/2023)
RR
Nevada(5/17/2023)
RR
New Hampshire(5/17/2023)
RR
New Jersey(5/17/2023)
IAR
New Jersey(11/15/2024)
RR
New York(4/11/2023)
IAR
New York(8/3/2023)
RR
Pennsylvania(5/17/2023)
IAR
Pennsylvania(6/30/2024)
RR
South Carolina(5/17/2023)
RR
South Dakota(5/17/2023)
RR
Tennessee(5/17/2023)
RR
Virginia(5/17/2023)
RR
Washington(5/17/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/20/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
