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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

NICHOLAS VENTIMIGLIO

Advisor at GIVING TREE WEALTH ADVISORS

SAN RAMON, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 8, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: GIVING TREE WEALTH ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 19, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 19, 2002
First registration: Sep 8, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4595708

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
GIVING TREE WEALTH ADVISORS	Independent wealth	Mar 12, 2021	n/a	yes	SAN RAMON, CA	Current employment
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Jul 2, 2012	Feb 11, 2016	no	SAN RAMON, CA	Previous registration
NICHOLAS VENTIMIGLIO, CDFA	n/a	Apr 28, 2010	Mar 27, 2025	no	SAN RAMON, CA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Jul 24, 2007	Aug 9, 2012	no	SAN DIEGO, CA\|SAN RAMON, CA	Previous registration
KIM FINANCIAL ADVISORS, INC.	n/a	Jun 18, 2004	Aug 13, 2007	no	SAN RAMON, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Sep 8, 2003	Jul 13, 2004	no	WALNUT CREEK, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NICHOLAS VENTIMIGLIO, CDFA	FIRST ALLIED ADVISORY SERVICES, INC.	Mar 27, 2025	Jul 2, 2012	-4,651	Firm change after gap	Other
FIRST ALLIED ADVISORY SERVICES, INC.	GIVING TREE WEALTH ADVISORS	Feb 11, 2016	Mar 12, 2021	1,856	Firm change after gap	Other
FIRST ALLIED SECURITIES, INC.	NICHOLAS VENTIMIGLIO, CDFA	Aug 9, 2012	Apr 28, 2010	-834	Firm change after gap	Other
KIM FINANCIAL ADVISORS, INC.	FIRST ALLIED SECURITIES, INC.	Aug 13, 2007	Jul 24, 2007	-20	Firm change	Other
MML INVESTORS SERVICES, LLC	KIM FINANCIAL ADVISORS, INC.	Jul 13, 2004	Jun 18, 2004	-25	Firm change	Other

Relationships

Registered with (6)

→ GIVING TREE WEALTH ADVISORSRegistered adviserregistration: current employment
Mar 12, 2021 to presentfactForm ADV
→ NICHOLAS VENTIMIGLIO, CDFARegistered adviserregistration: previous registration
Apr 28, 2010 to Mar 27, 2025factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 2, 2012 to Feb 11, 2016factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Jul 24, 2007 to Aug 9, 2012factForm ADV
→ KIM FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 18, 2004 to Aug 13, 2007factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Sep 8, 2003 to Jul 13, 2004factForm ADV

Dated events

Occurred
Mar 27, 2025
Advisor changed firm
Nicholas Ventimiglio left Nicholas Ventimiglio, Cdfa for First Allied Advisory Services, Inc. (registered 2012-07-02)
Form ADVobserved 5 days ago