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ND

Nick Desola

Some features on this profile are disabled
CRD#: 7285348
ND

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.

Nick Desola, who also goes by Nicholas Desola, was a registered financial professional .

Nick is a previously registered financial professional and started their career in finance in 2024. Nick had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Desola

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

September 19, 2025 - March 13, 2026

HENNION & WALSH, INC.

BD
CRD#: 25766
BOCA RATON, FL
Past

November 11, 2024 - December 16, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PALM BEACH GARDENS, FL

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
Series 63
Date: 10/13/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/11/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2024
Securities Industry Essentials Examination

Current Firm

H&
HENNION & WALSH, INC.
HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.

CRD#: 25766 / SEC#: , 8-41988

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018
Mailing Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018
Phone number
(973) 299-8989
Established
New Jersey since 10/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HENNION, RICHARDEXECUTIVE VICE PRESIDENT1315386
WALSH, WILLIAM WALTERPRESIDENT1174993
FITZSIMMONS, PHILLIPCHIEF COMPLIANCE OFFICER1625889
HENNION, WILLIAMVICE PRESIDENT2048378
KOWALSKI, STEPHEN GEORGEVICE PRESIDENT1919574
MAHN, KEVIN DOUGLASMANAGING DIRECTOR2519398
WURST, WENDY ANNFINOP, TREASURER1902879

Disclosures

Regulatory Event12
Arbitration6

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

HENNION & WALSH, INC.

CRD#: 25766

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