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Nikola Goles

KELLEHER FINANCIAL ADVISORS
New York, NY 10005
Some features on this profile are disabled
CRD#: 7183235
NG

Professional summary

Nikola Goles, who also goes by Niko Goles, Niko Goles, is a registered financial advisor currently at KELLEHER FINANCIAL ADVISORS, LLC located in New York, New York and WALL STREET ACCESS located in New York, New York.

Nikola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Nikola has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Niko Goles | Niko Goles

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) - RIA

Click below to view Nikola Goles's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 22, 2025 - Present

KELLEHER FINANCIAL ADVISORS, LLC

Office #1: 100 Wall Street Suite 804, New York, NY 10005
RIA
CRD#: 126021
New York, NY
Current

April 22, 2025 - Present

WALL STREET ACCESS

Office #1: 100 Wall Street, Suite 804, New York, NY 10005
BD
CRD#: 10012
New York, NY
Past

April 23, 2024 - April 29, 2025

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

August 1, 2022 - April 29, 2025

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

November 15, 2019 - November 5, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
New York, NY

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".
KF
KELLEHER FINANCIAL ADVISORS, LLC
BATTERY PARK CAPITAL | WALL STREET ADVISORS LLC | WALL STREET ACCESS WEALTH MANAGEMENT | WALL STREET ACCESS ASSET MANAGEMENT, LLC | WALL STREET ACCESS ADVANCED STRATEGIES, LLC | STARBOARD ADVISORS | NU PARADIGM INVESTMENT PARTNERS | KELLEHER FINANCIAL ADVISORS. LLC | KELLEHER FINANCIAL ADVISORS, LLC | KELLEHER FAMILY WEALTH MANAGEMENT

CRD#: 126021 / SEC#: 801-62029

RIA
Registered Investment Advisory firm - (6/9/2003 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
New Jersey
(4/22/2025)
IAR
New Jersey
(4/28/2025)
RR
New York
(4/22/2025)
IAR
New York
(4/22/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/23/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/25/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

KF
KELLEHER FINANCIAL ADVISORS, LLC
BATTERY PARK CAPITAL | WALL STREET ADVISORS LLC | WALL STREET ACCESS WEALTH MANAGEMENT | WALL STREET ACCESS ASSET MANAGEMENT, LLC | WALL STREET ACCESS ADVANCED STRATEGIES, LLC | STARBOARD ADVISORS | NU PARADIGM INVESTMENT PARTNERS | KELLEHER FINANCIAL ADVISORS. LLC | KELLEHER FINANCIAL ADVISORS, LLC | KELLEHER FAMILY WEALTH MANAGEMENT

CRD#: 126021 / SEC#: 801-62029

RIA
Registered Investment Advisory firm - (6/9/2003 Approved)
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Contact information

Main Address
100 Wall Street Suite 804, New York, NY 10005
Mailing Address
Phone number
(212) 709-9400
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KELLEHER FINANCIAL ADVISORS FORM ADV PART 2A 04.08.2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts648
AUM (Assets Under Management)$ 1,025,582,365

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/21/2024
Cover Page
Report
10/25/2023
Cover Page
Report
02/28/2023
Cover Page
Report

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

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021New York, NY 10005

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