Nicholas E. Weber
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 Edward Weber, who also goes by Nicholas Weber, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2021. Nicholas had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2022 - September 15, 2022
MOKOSAK ADVISORY GROUP, LLC
September 13, 2021 - December 17, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MOKOSAK ADVISORY GROUP, LLC
CRD#: 287538 / SEC#: 801-110319
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 9/13/2021
General Securities Representative ExaminationCurrent Firm
MOKOSAK ADVISORY GROUP, LLC
CRD#: 287538 / SEC#: 801-110319
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,315 |
| AUM (Assets Under Management) | $ 345,300,877 |
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.
