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Nicholas J. O'brien

MERCER ALLIED COMPANY, L.P.
Cohoes, NY 12047
Some features on this profile are disabled
CRD#: 7558171
NO

Professional summary

Nicholas James O'brien is a registered financial professional currently at MERCER ALLIED COMPANY, L.P. located in Cohoes, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2023. Nicholas has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas James O'brien'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 7, 2023 - Present

MERCER ALLIED COMPANY, L.P.

Office #1: 100 Coliseum Drive, Cohoes, NY 12047
BD
CRD#: 37404
Cohoes, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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 York
(7/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/17/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MERCER ALLIED COMPANY, L.P.
MERCER ALLIED COMPANY, L.P.

CRD#: 37404 / SEC#: , 8-47739

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

Main Address
100 Coliseum Drive, Cohoes, NY 12047
Mailing Address
100 Coliseum Drive, Cohoes, NY 12047
Phone number
(518) 886-4000
Established
Delaware since 10/11/1994
Firm type
Partnership
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#
GOLDMAN SACHS WEALTH SERVICES, L.P.SOLE LIMITED PARTNER106693
GS AYCO HOLDING LLCGENERAL PARTNER
HALL, LARIK MARSHALLPRESIDENT2634322
KINOWSKI, KYLE TVICE PRESIDENT4277862
LUKS, SHELLEY MVP & CHIEF FINANCIAL OFFICER6004389
NASS, JEREMY PAULVP & CHIEF OPERATIONS OFFICER4244509
RYAN, DIANA ELIZABETHVP & CHIEF COMPLIANCE OFFICER2780148
VOLSKY, MELISSA CVICE PRESIDENT4648752

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

MERCER ALLIED COMPANY, L.P.

CRD#: 37404Cohoes, NY 12047

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