Individual Firm
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ROBERT VINCIENT NICOLOSI
ROBERT V NICOLOSI, ROBERT NICOLOSI
CRD#: 4163214
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 535 COWPER ST
SUITE 200
PALO ALTO, CA 94301
SUITE 200
PALO ALTO, CA 94301
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alabama 6/7/2022
B
Nevada 8/22/2018
B
Arizona 7/25/2023
B
New York 1/22/2025
B
California 10/31/2016
B
Oregon 4/18/2023
IA
California 11/8/2016
B
Texas 7/25/2023
B
Maryland 1/22/2025
B
Virginia 3/7/2024
B
Michigan 8/22/2024
B
Washington 1/3/2019
SRO Registrations
B
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IA
Registered with this firm since 11/8/2016
B
Registered with this firm since 10/31/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/24/2014 - 10/26/2016 | SUNNYVALE, CA | |
IA | 01/12/2010 - 06/15/2011 | PALO ALTO, CA | |
IA | 06/01/2009 - 12/10/2009 | SAN FRANCISCO, CA | |
B | 06/01/2009 - 12/10/2009 | SAN FRANCISCO, CA | |
IA | 01/23/2009 - 06/01/2009 | SAN FRANCISCO, CA | |
B | 01/14/2009 - 06/01/2009 | SAN FRANCISCO, CA | |
IA | 09/18/2006 - 09/30/2008 | PLANO, TX | |
IA | 09/05/2000 - 06/19/2006 | PALO ALTO, CA | |
B | 07/03/2000 - 06/19/2006 | PALO ALTO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.