NT
Nicholas J. Taber
VISION RETIREMENT
Ridgewood, NJ 07450
Some features on this profile are disabled
CRD#: 7006691
NT
Professional summary
Nicholas Joseph Taber, who also goes by Nicholas Taber, Nick Joseph Taber, is a registered financial advisor currently at VISION RETIREMENT located in Ridgewood, New Jersey and LPL FINANCIAL LLC located in Ridgewood, New Jersey.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Taber | Nick Joseph Taber
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) 05/2024 - Ridgewood Financial Advisors / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 09/24/2024 - Vision Retirement LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 09/04/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Vision Retirement, LLC, an independent investment advisor firm. I started this business activity in 9/2024. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Joseph Taber'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
July 9, 2024 - Present
VISION RETIREMENT
Office #1: 171 East Ridgewood Avenue Suite 205, Ridgewood, NJ 07450RIA
CRD#: 173064
Ridgewood, NJ
Current
May 21, 2024 - Present
LPL FINANCIAL LLC
Office #1: 171 E Ridgewood Ave., Ste 205, Ridgewood, NJ 07450RIA
BD
CRD#: 6413
RIDGEWOOD, NJ
Past
September 10, 2018 - May 13, 2024
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, 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".
VR
VISION RETIREMENT
THE LANZA FINANCIAL GROUP | VISION RETIREMENT, LLC | VISION RETIREMENT
CRD#: 173064 / SEC#: 801-126524
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)New Jersey
Registered Investment Advisory firm - (9/30/2022 Terminated)New York
Registered Investment Advisory firm - (9/14/2022 Terminated)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
New Jersey(5/21/2024)
IAR
New Jersey(7/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VR
VISION RETIREMENT
THE LANZA FINANCIAL GROUP | VISION RETIREMENT, LLC | VISION RETIREMENT
CRD#: 173064 / SEC#: 801-126524
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)New Jersey
Registered Investment Advisory firm - (9/30/2022 Terminated)New York
Registered Investment Advisory firm - (9/14/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
171 East Ridgewood Avenue Suite 205, Ridgewood, NJ 07450
Mailing Address
Phone number
(201) 447-2212
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 856 |
| AUM (Assets Under Management) | $ 497,261,766 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
