Nicholas Thomas Rossi

Current Employers

Employment History

• 04/2014 → 06/2018
  Ameriprise Financial Services, Inc.
  Melville, NY
• 06/2018 → 06/2019
  Weston Financial Group, Inc.
  Wellesley, MA
• 06/2018 → 11/2021
  Weston Securities Corporation
  Wellesley, MA
• 06/2019 → 11/2021
  Weston Financial Group, Inc.
  Wellesley, MA
• 11/2021 → 09/2022
  Washington Trust Advisors, Inc.
  Wellesley, MA
• 11/2021 → 09/2022
  Weston Securities Corporation
  Wellesley, MA
• 09/2022 → Present
  Private Advisor Group, Llc
  Morristown, NJ
• 09/2022 → Present
  Northward Financial Group
  Needham, MA

Previous Registrations

• 2018-08-06 → 2022-10-04
  Washington Trust Advisors
  Wellesley, MA

Other Businesses

1.Mr. Rossi is an owner of Northward Financial Group through which he operates a financial services practice, but which is owned independently from Private Advisor Group, LLC. This activity is at the address Mr. Rossi is registered at, and is related to his investment services practice. Mr. Rossi devotes about 160 hours per month to this activity, including about 140 hours during securities trading hours, concurrently with time Mr. Rossi devotes to activity providing investment services through PAG. 2.Mr. Rossi holds licenses to sell insurance and sells insurance products as an independent insurance agent. This insurance business is separate and apart from Private Advisor Group, and does not include investment advisory services.

Exams

• S66 Uniform Combined State Law Examination
  2014-09-25
• S63 Uniform Securities Agent State Law Examination
  2013-04-11

Designations

Other Names

• Nicholas Rossi