Nicholas V. Ventura

VENTURA WEALTH MANAGEMENT

Yardley, PA 19067

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CRD#: 726136

Professional summary

Nicholas Vincent Ventura JR, CFP®, CPWA® is a registered financial advisor currently at VENTURA WEALTH MANAGEMENT located in Yardley, Pennsylvania.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Nicholas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 5, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

I AM A REGISTERED REPRESENTATIVE OF A UNAFFILIATED BROKER-DEALER. VENTURA WEALTH MANAGEMENT. THIS WILL CONSTITUTE A SMALL COMPONENT OF MY OVERALL REVENUE AND WILL SERVE TO COMPLEMENT MY ADVISORY BUSINESS. THIS WILL BE ONDUCTED ON FULLY DISCLOSED BASIS TO MY CLIENTS. CHILDRENS HOMES SOCIETY OF NJ - NON-PROFITS FOR CHILD WELFARE, BOARD MEMBER/TREASURER. NOT SECURITIES RELATED. 15 HRS PER MONTH, 0 HRS DURING MARKET HRS. PEI KIDS LAWRENCEVILLE NON PROFIT FOR CHILD WELFARE IS NON SECURITES RELATED AND STARTED IN 2002. IS THE TREASURER AND DEVOTES 15 HRS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Vincent Ventura JR'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®

CFP^®

Certified Financial Planner

CPWA^®

Certified Private Wealth Advisor

Experience

Current

February 22, 2010 - Present

VENTURA WEALTH MANAGEMENT

Office #1: 820 Township Line Road Suite 100, Yardley, PA 19067

RIA

CRD#: 152301

Yardley, PA

Past

October 11, 2024 - April 9, 2025

OSAIC WEALTH, INC.

CRD#: 23131

Yardley, PA

Past

March 30, 2010 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

Yardley, PA

Past

June 15, 2002 - March 29, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

TRENTON, NJ

Past

June 15, 2002 - March 29, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

TRENTON, NJ

Past

May 14, 1999 - June 20, 2002

CAPTRUST FINANCIAL ADVISORS, LLC

RIA

CRD#: 41727

LAWRENCEVILLE, NJ

Past

May 14, 1999 - June 15, 2002

CAPTRUST FINANCIAL ADVISORS, LLC

CRD#: 41727

CHARLOTTE, NC

Past

July 31, 1993 - May 20, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 23, 1981 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

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".

VENTURA WEALTH MANAGEMENT

NVWM LLC | VENTURA WEALTH MANAGEMENT

CRD#: 152301 / SEC#: 801-70883

RIA

Registered Investment Advisory firm - (1/4/2010 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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(2/22/2010)

IAR

Texas
(4/12/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/18/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/18/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 3/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/30/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/29/2004

General Securities Sales Supervisor - General Module Examination

Current Firm

VENTURA WEALTH MANAGEMENT

NVWM LLC | VENTURA WEALTH MANAGEMENT

CRD#: 152301 / SEC#: 801-70883

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

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Contact information

Main Address

820 Township Line Road Suite 100, Yardley, PA 19067

Mailing Address

Phone number

(866) 899-0068

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,512
AUM (Assets Under Management)	$ 599,560,756

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas V. Ventura

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Vincent Ventura JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CAPTRUST FINANCIAL ADVISORS, LLC

CAPTRUST FINANCIAL ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

VENTURA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/1992

Series 63

Date: 5/18/1981

SIE

Date: 10/1/2018

Series 31

Date: 4/18/2006

Series 5

Date: 10/17/1981

Series 7

Date: 3/21/1981

Series 9

Date: 4/30/2004

Series 10

Date: 4/29/2004

Current Firm

VENTURA WEALTH MANAGEMENT

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VENTURA WEALTH MANAGEMENT

TRUST BUT VERIFY

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