Rick Nichols

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2023-06-28
RI	RA	APPROVED	2021-03-23
TX	RA	APPROVED	2021-03-23

Branch Locations

3400 Pawtucket Ave Ci Relationship Management, Riverside, RI 02915 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Fidelity Investments	Smithfield	RI	09/1998	03/2020
Fidelity Investments Institutional Services Company, Inc.	Smithfield	RI	05/2016	03/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lincoln	RI	02/2021	Present
Unemployed	Raynham	MA	04/2020	02/2021
Bank Of America, N.A.	Lincoln	RI	03/2021	Present

09/1998 → 03/2020

Fidelity Investments

Smithfield, RI
05/2016 → 03/2020

Fidelity Investments Institutional Services Company, Inc.

Smithfield, RI
02/2021 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI
04/2020 → 02/2021

Unemployed

Raynham, MA
03/2021 → Present

Bank Of America, N.A.

Lincoln, RI

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-03-19
S63	Uniform Securities Agent State Law Examination	2001-07-13