Inactive

Sean C Nicol

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Current Employers

Mosaic Wealth

1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2026-03-30

AZ RA
APPROVED

Since 2026-03-30

Branch Locations

1401 S. Brentwood Blvd. Suite 630, St. Louis, MO 63144 • United States

6720 N Scottsdale Rd #210, Scottsdale, AZ 85253 • 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

Organization	City	State	From	To
Thrivent Investment Management Inc	Durgano	CO	05/2016	07/2018
Thrivent Financial	Appleton	WI	05/2016	09/2016
Thrivent Financial	Appleton	WI	09/2016	07/2018
Strategy Financial Services. Llc	Phoenix	AZ	07/2018	08/2019
Strategy Financial Insurance, Llc	Phoenix	AZ	07/2018	08/2019
Hornor Townsend & Kent Llc	Horsham	PA	09/2019	10/2020
Royal Alliance	Bellevue	WA	10/2020	10/2021
Finemark National Bank And Trust	Scottsdale	AZ	10/2021	01/2026
Osaic Institutions, Inc.	Scottsdale	AZ	11/2021	01/2026
Mosaic Wealth	Scottsdale	AZ	01/2026	Present

05/2016 → 07/2018

Thrivent Investment Management Inc

Durgano, CO
05/2016 → 09/2016

Thrivent Financial

Appleton, WI
09/2016 → 07/2018

Thrivent Financial

Appleton, WI
07/2018 → 08/2019

Strategy Financial Services. Llc

Phoenix, AZ
07/2018 → 08/2019

Strategy Financial Insurance, Llc

Phoenix, AZ
09/2019 → 10/2020

Hornor Townsend & Kent Llc

Horsham, PA
10/2020 → 10/2021

Royal Alliance

Bellevue, WA
10/2021 → 01/2026

Finemark National Bank And Trust

Scottsdale, AZ
11/2021 → 01/2026

Osaic Institutions, Inc.

Scottsdale, AZ
01/2026 → Present

Mosaic Wealth

Scottsdale, AZ

Previous Registrations

2021-11-19 → 2026-01-12

Osaic Institutions, Inc.

Meriden, CT

Scottsdale, AZ

Scottsdale, AZ
2020-11-06 → 2021-10-08

Osaic Wealth, Inc.

Scottsdale, AZ
2019-10-17 → 2020-11-02

Hornor, Townsend & Kent, Llc

Scottsdale, AZ
2018-10-03 → 2019-09-03

Strategy Financial Group

Phoenix, AZ
2016-07-06 → 2018-07-20

Thrivent Investment Management Inc.

Thousand Oaks, CA

Durango, CO

Ignacio, CO

Scottsdale, AZ

Other Businesses

Insurance Licensed Life and Health

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-06-30

S66 Uniform Combined State Law Examination

2016-06-30

Designations

Other Names

Sean Nicol
Sean C Nicol

View on SEC IAPD

Other Firms

UNIVERSAL FINANCIAL ADVISORS, LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

VESTGEN ADVISORS, LLC

FORTIFY WEALTH, INC.

CETERA INVESTMENT ADVISERS LLC

LPL FINANCIAL LLC

CREATIVEONE WEALTH, LLC

Other Investors

BRIAN CHRISTOPHER LOCK

WILLIAM BERNARD ALBAIR

Stephanie Louise Longanecker

GREGORY JOHN WOZNIAK

Grant Hunter Richars

ANTHONY DWAYNE RICH

Anna Marie Meurer

John Michael Laaker

Other Offices

UNIVERSAL FINANCIAL ADVISORS, LLC · ST. LOUIS, MO

EDWARD JONES · KIRKWOOD, MO

EDWARD JONES · KIRKWOOD, MO

EDWARD JONES · KIRKWOOD, MO

EDWARD JONES · Kirkwood, MO

STATE FARM INVESTMENT MANAGEMENT CORP. · Kirkwood, MO

VESTGEN ADVISORS, LLC · Kirkwood, MO

VESTGEN ADVISORS, LLC · Kirkwood, MO

More in St. Louis, MO

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