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Nicholas A. Fontanella

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CRD#: 7049092
NF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas Anthony Fontanella was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2019. Nicholas had worked at 4 firms and has passed the Series 66, Series 65, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 13, 2022 - October 14, 2022

TD AMERITRADE, INC.

RIA
CRD#: 7870
Sandy Springs, GA
Past

June 13, 2022 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Atlanta, GA
Past

June 11, 2022 - July 29, 2024

TD AMERITRADE, INC.

BD
CRD#: 7870
Sandy Springs, GA
Past

November 8, 2019 - July 26, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Sandy Springs, GA
Past

October 7, 2019 - July 26, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Sandy Springs, GA
Past

March 28, 2019 - June 28, 2019

FISHER INVESTMENTS

RIA
CRD#: 107342
PLANO, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/9/2019
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/28/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/8/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2019
Securities Industry Essentials Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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