Nicholas D. Pelini

MOSAIC ADVISORS

Houston, TX 77046

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CRD#: 7417115

Professional summary

Nicholas David Pelini, who also goes by Nicholas Pelini, is a registered financial advisor currently at MOSAIC ADVISORS located in Houston, Texas.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nicholas has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Pelini

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.

Name: Pelini Law Group, PLLC Inv rel: Y Add: At Residential Address Nature: Legal Position: Attorney Start date: 08/03/2023 No. HR/MO: 20 No. HR/MO dur trading: 10 Describe duties: Guide clients through formation of documents, such as wills and trusts. Give legal advice related to aforementioned documents and impact on their estate. Guide clients through interpretation and settlement of wills, trusts, and probate.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas David Pelini'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

June 25, 2025 - Present

MOSAIC ADVISORS

Office #1: 3773 Richmond Avenue Suite 700, Houston, TX 77046

RIA

CRD#: 164913

Houston, TX

Past

March 16, 2022 - June 24, 2025

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

HOUSTON, TX

Past

February 9, 2022 - June 24, 2025

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOUSTON, TX

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".

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(6/25/2025)

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 66

Date: 3/10/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/9/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/25/2021

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2023

General Securities Principal Examination

Current Firm

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

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Contact information

Main Address

3773 Richmond Avenue Suite 700, Houston, TX 77046

Mailing Address

Phone number

(713) 980-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MOSAIC ADVISORS FORM ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 499,449,089

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 D. Pelini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas David Pelini's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

MOSAIC ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/10/2022

Series 7TO

Date: 2/9/2022

SIE

Date: 5/25/2021

Series 24

Date: 1/20/2023

Current Firm

MOSAIC ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSAIC ADVISORS

TRUST BUT VERIFY

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