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NF

Nicholas A. Frostino

CLEVELAND RESEARCH COMPANY LLC
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 7560508
NF

Professional summary

Nicholas Alexander Frostino is a registered financial professional currently at CLEVELAND RESEARCH COMPANY LLC located in Cleveland, Ohio.

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 87, Series 86, 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 Alexander Frostino's 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

September 7, 2023 - Present

CLEVELAND RESEARCH COMPANY LLC

Office #1: 1375 E 9th Street Suite 2700, Cleveland, OH 44114
RIA
BD
CRD#: 142230
Cleveland, OH

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
Ohio
(11/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 6/26/2024
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 5/23/2024
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7TO
Date: 9/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/22/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CR
CLEVELAND RESEARCH COMPANY LLC
CLEVELAND RESEARCH COMPANY LLC

CRD#: 142230 / SEC#: , 8-67482

Ohio
Registered Investment Advisory firm - SEC (6/15/2023 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1375 E 9th Street Suite 2700, Cleveland, OH 44114
Mailing Address
1375 E 9th Street Suite 2700, Cleveland, OH 44144
Phone number
(216) 649-7250
Established
Ohio since 03/24/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
119

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CLEVELAND RESEARCH MANAGEMENT COMPANY LLCPARENT COMPANY
BOSSHARD, ERICCEO2744439
BYKE, CHRISTOPHERPRESIDENT2107753
HUTCHINS, KIMBERLY ANNFINOP4499796
SISSON, MICAH RCCO4825177

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

CLEVELAND RESEARCH COMPANY LLC

CRD#: 142230Cleveland, OH 44114

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