Nicholas W Fossey

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

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

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2024-12-13
MN	RA	APPROVED	2024-05-24
TX	RA	APPROVED	2024-05-24

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chandler	AZ	04/2021	05/2024
Shipt	Lakeville	MN	12/2020	04/2021
University Of Northern Iowa	Cedar Falls	IA	08/2016	12/2020
Bank Of America, N.A.	Phoenix	AZ	04/2021	05/2024
Morgan Stanley Smith Barney Llc	Scottsdale	AZ	05/2024	Present
Morgan Stanley Private Bank, N.A	New York	NY	11/2024	Present

04/2021 → 05/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ
12/2020 → 04/2021

Shipt

Lakeville, MN
08/2016 → 12/2020

University Of Northern Iowa

Cedar Falls, IA
04/2021 → 05/2024

Bank Of America, N.A.

Phoenix, AZ
05/2024 → Present

Morgan Stanley Smith Barney Llc

Scottsdale, AZ
11/2024 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-12-21