NP
Nicholas B. Prokai
THE WELLINGTON GRP LLC
INDIANAPOLIS, IN 46240
Some features on this profile are disabled
CRD#: 7162548
NP
Professional summary
Nicholas Bela Prokai, who also goes by Nick Prokai, is a registered financial advisor currently at THE WELLINGTON GRP LLC located in Indianapolis, Indiana and WELLINGTON WEALTH STRATEGIES, LLC located in Indianapolis, Indiana.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nicholas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Prokai
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.
Insurance services outside of Guardian: Selling various insurance products outside of Guardian and Innovative Underwriters. Start Date: 05/27/2020 Address: 9000 Keystone Crossing, Suite 300, Indianapolis, Indiana 46240 5 hours per month will be spent on this Outside Business Activity 5 hours per month during normal securities trading hours Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Bela Prokai'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 17, 2024 - Present
THE WELLINGTON GRP LLC
Office #1: 9000 Keystone Crossing Suite 400, Indianapolis, IN 46240RIA
CRD#: 332803
INDIANAPOLIS, IN
Current
January 3, 2025 - Present
WELLINGTON WEALTH STRATEGIES, LLC
Office #1: 9000 Keystone Crossing Suite 400, Indianapolis, IN 46240RIA
CRD#: 306298
Indianapolis, IN
Past
September 11, 2023 - December 31, 2024
WELLINGTON WEALTH STRATEGIES, LLC
RIA
CRD#: 306298
INDIANAPOLIS, IN
Past
September 1, 2023 - September 6, 2023
WELLINGTON WEALTH STRATEGIES, LLC
RIA
CRD#: 306298
INDIANAPOLIS, IN
Past
July 18, 2022 - September 15, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
INDIANAPOLIS, IN
Past
April 11, 2022 - September 15, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
INDIANAPOLIS, IN
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".
WW
WELLINGTON WEALTH STRATEGIES, LLC
TRUSTWEALTH STRATEGIES | WELLINGTON WEALTH STRATEGIES, LLC | TRUSTWEALTH STRATEGIES, LLC
CRD#: 306298 / SEC#: 801-128328
RIA
Registered Investment Advisory firm - (7/13/2023 Approved)California
Registered Investment Advisory firm - (8/26/2023 Terminated)Illinois
Registered Investment Advisory firm - (7/27/2023 Terminated)Indiana
Registered Investment Advisory firm - (8/7/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/31/2023 Terminated)Michigan
Registered Investment Advisory firm - (8/9/2023 Terminated)Texas
Registered Investment Advisory firm - (7/27/2023 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.Highlighted states indicate IAR registrations
IAR
Indiana(10/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/11/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
WW
WELLINGTON WEALTH STRATEGIES, LLC
TRUSTWEALTH STRATEGIES | WELLINGTON WEALTH STRATEGIES, LLC | TRUSTWEALTH STRATEGIES, LLC
CRD#: 306298 / SEC#: 801-128328
RIA
Registered Investment Advisory firm - (7/13/2023 Approved)California
Registered Investment Advisory firm - (8/26/2023 Terminated)Illinois
Registered Investment Advisory firm - (7/27/2023 Terminated)Indiana
Registered Investment Advisory firm - (8/7/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/31/2023 Terminated)Michigan
Registered Investment Advisory firm - (8/9/2023 Terminated)Texas
Registered Investment Advisory firm - (7/27/2023 Terminated)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
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 789-8800
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 576 |
| AUM (Assets Under Management) | $ 145,594,172 |
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.
