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Nicholas David Rounds

Focus Partners Wealth, LLC

Nashville, TN

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Current Employers
Focus Partners Wealth, Llc

190 Carondelet Plaza Suite 600, St. Louis, MO 63105 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-05-02
IL RA APPROVED 2024-05-01
  • TN RA
    APPROVED
    Since 2024-05-02
  • IL RA
    APPROVED
    Since 2024-05-01

Branch Locations

150 4Th Avenue North Suite 1410, Nashville, TN 37219 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Interocean Capital, Llc Chicago IL 06/2014 10/2020
Interocean Capital Group, Llc Chicago IL 10/2020 Present
The Colony Group, Llc Boston MA 05/2024 Present
  • 06/2014 → 10/2020
    Interocean Capital, Llc
    Chicago, IL
  • 10/2020 → Present
    Interocean Capital Group, Llc
    Chicago, IL
  • 05/2024 → Present
    The Colony Group, Llc
    Boston, MA
Previous Registrations
  • 2020-10-14 → 2024-07-30
    Interocean Capital
    Chicago, IL
    Nashville, TN
  • 2015-07-24 → 2020-10-14
    Interocean Capital, Llc
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-07-23
  • S65 Uniform Investment Adviser Law Examination
    2015-07-23
Designations

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
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