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Nicholas Tognoli

Bass Rocks, LLC / Bass Rocks Asset Management

Alamo, CA

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Current Employers
Bass Rocks, Llc / Bass Rocks Asset Management

Alamo, CA • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-03-25
TX RA APPROVED_RES 2026-02-20
CA RA APPROVED 2025-07-01
  • AZ RA
    APPROVED
    Since 2026-03-25
  • TX RA
    APPROVED_RES
    Since 2026-02-20
  • CA RA
    APPROVED
    Since 2025-07-01

Branch Locations

Alamo, CA • 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
Brookwood Investment Group, Llc Phoenix AZ 08/2023 04/2024
Arizona State University Tempe AZ 08/2018 05/2023
Unemployed Sunnyvale CA 01/2013 08/2018
Bass Rocks Asset Management Walnut Creek CA 06/2024 Present
  • 08/2023 → 04/2024
    Brookwood Investment Group, Llc
    Phoenix, AZ
  • 08/2018 → 05/2023
    Arizona State University
    Tempe, AZ
  • 01/2013 → 08/2018
    Unemployed
    Sunnyvale, CA
  • 06/2024 → Present
    Bass Rocks Asset Management
    Walnut Creek, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-05-22
  • S65 Uniform Investment Adviser Law Examination
    2025-05-22

View on SEC IAPD

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