Nicola Nichol has been an investment adviser representative at Rossby Financial since December 2025, and is not listed among the firm’s executive officers or direct owners.
Rossby Financial, LLC is a Melbourne, FL firm with $855M under management, 3,910 clients and 2 advisers across 19 offices, as of its July 2026 filing.
Nicola Nichol’s longest registration was 9 years at Securities America Advisors, Inc. (2014–2024). Before joining Rossby Financial in 2025, Nicola Nichol was registered through Osaic Wealth, Inc. and Securities America Advisors, Inc.
- Rossby Financial, LLCCurrent– present · under a yearFernandina, FL · Adviser representative · Firm CRD 324631
- Osaic Wealth, Inc.– · 1 yearFernandina Beach, FL · Adviser representative · Firm CRD 23131
- Securities America Advisors, Inc.– · 9 yearsFernandina Beach, FL · Adviser representative · Firm CRD 110518
- Esi Financial Advisors– · 4 yearsFernandina Beach, FL · Adviser representative · Firm CRD 265
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearJacksonville, FL · Adviser representative · Firm CRD 7691
- UBS Financial Services Inc.– · 3 yearsJacksonville, FL · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Nicola Nichol is registered as an investment adviser representative in Florida, since December 2025.
- FloridaSince 12 December 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 10 August 2005 |
| Series 66 | Uniform Combined State Law Examination | 13 July 2005 |
| Series 7 | General Securities Representative Examination | 21 June 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicola S Nichol
- CRD
- 4956896
- Firm
- Rossby Financial · CRD 324631
- Office
- 2338 S. 8th. St.,, Fernandina, FL 32034
- Registration
- Investment adviser registration
- In the industry since
- June 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicola Nichol work?
Nicola Nichol is an investment adviser representative registered through Rossby Financial, LLC since December 2025, and is not listed among the firm’s executive officers or direct owners.
Is Nicola Nichol a financial advisor?
Yes. Nicola Nichol has a current investment-adviser registration in Florida, through Rossby Financial since December 2025.
How many years of experience does Nicola Nichol have?
Nicola Nichol has 21 years in the financial industry, since June 2005, across 6 adviser firms.
What exams has Nicola Nichol passed?
Nicola Nichol has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in June 2005. FINRA credited Nicola Nichol with the SIE, which began in October 2018.
Where did Nicola Nichol work before Rossby Financial?
Before Rossby Financial, Nicola Nichol was registered through Osaic Wealth, Inc., June 2024 to December 2025; Securities America Advisors, Inc., December 2014 to June 2024; Esi Financial Advisors, January 2010 to December 2014; Merrill Lynch, Pierce, Fenner & Smith Incorporated, August 2008 to January 2010; UBS Financial Services Inc., July 2005 to August 2008.
Where is Nicola Nichol based?
Nicola Nichol’s registered office is in Fernandina, FL.
Is Nicola Nichol registered with FINRA?
No. Nicola Nichol has no current broker registration.
How can I verify Nicola Nichol’s record?
Search CRD 4956896 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicola Nichol’s full registration record.
- Marissa HarrisCCO
- Melissa ReaktenwaltEmployee Ownership - Class A and B Shares
- Kelly RennerEmployee Ownership - Class B Shares
- Jason RennerEmployee Ownership - Class B Shares
- Jennifer SzeklinskiEmployee Ownership - Class A and B Shares
- Frances TolerEmployee Ownership - Class B Shares
- Andrew EvansCEO
- Christopher MarsicoMember