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NM

Nicholas D. Mantel

RFS PARTNERS
Denver, CO 80202-1805
Some features on this profile are disabled
CRD#: 7686804
NM

Professional summary

Nicholas Dean Mantel, who also goes by Nicholas Mantel, is a registered financial professional currently at RFS PARTNERS located in Denver, Colorado.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2023. Nicholas has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Mantel

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 Dean Mantel'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

July 22, 2025 - Present

RFS PARTNERS

Office #1: 1125 17th Street Suite 2550, Denver, CO 80202-1805
BD
CRD#: 18119
Denver, CO
Past

May 1, 2023 - July 8, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
GREENWOOD VILLAGE, CO

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
Alaska
(7/22/2025)
RR
Arizona
(7/22/2025)
RR
Arkansas
(7/22/2025)
RR
California
(7/22/2025)
RR
Colorado
(7/22/2025)
RR
Hawaii
(7/22/2025)
RR
Idaho
(7/22/2025)
RR
Montana
(7/22/2025)
RR
Nevada
(7/22/2025)
RR
New Mexico
(7/22/2025)
RR
Oklahoma
(7/22/2025)
RR
Oregon
(7/22/2025)
RR
Texas
(7/22/2025)
RR
Washington
(7/22/2025)
RR
Wyoming
(7/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/22/2025
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/10/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/1/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/24/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RP
RFS PARTNERS
RFS PARTNERS

CRD#: 18119 / SEC#: , 8-36128

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

Main Address
1125 17th Street Suite 2550, Denver, CO 80202-1805
Mailing Address
1125 17th Street Suite 2550, Denver, CO 80202-1805
Phone number
(415) 378-5100
Established
California since 07/31/1985
Firm type
Partnership
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RICHARD F. SHELTON, INC.GENERAL PARTNERS
ROGERS, STEPHEN CRAIGCEO, PRESIDENT2329685
CLARK, DENNIS PATRICKMEMBER1410280
DELLA FLORA, CARRIE WORCESTERCHIEF COMPLIANCE OFFICER4225260
MARTIN, BARRINGER HAROLDMEMBER4038450

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

RFS PARTNERS

CRD#: 18119Denver, CO 80202-1805

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