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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

CARMELO THOMAS NICOLOSI

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Hadley, NY | Clifton Park, NY

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Search this name across graphsid dfx:ria:aff39fad-4dc2-4752-2a93-1e23cf6813fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 28, 2002 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 4, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Jan 4, 2001
First registration: Jun 28, 2002
Dual registered: yes, broker-dealer
Other names: CARL NICOLOSI|CARMELO T NICOLASI
IAPD individual key: 4298064

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 3, 2012	n/a	yes	Clifton Park, NY\|Hadley, NY	Current employment
ETICO WEALTH MANAGEMENT LLC	Former SEC adviser	Mar 9, 2010	Aug 3, 2012	no	SARATOGA SPRINGS, NY	Previous registration
MCGINN, SMITH ADVISORS LLC	n/a	Feb 18, 2009	Apr 1, 2009	no	ALBANY, NY	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 28, 2002	Nov 8, 2006	no	ALBANY, NY\|ALBANY, NY	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
ETICO WEALTH MANAGEMENT LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 3, 2012	Aug 3, 2012	0	Firm change	Other
MCGINN, SMITH ADVISORS LLC	ETICO WEALTH MANAGEMENT LLC	Apr 1, 2009	Mar 9, 2010	342	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MCGINN, SMITH ADVISORS LLC	Nov 8, 2006	Feb 18, 2009	833	Firm change after gap	Other

Relationships

Registered with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 28, 2002 to Nov 8, 2006factForm ADV
→ ETICO WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 9, 2010 to Aug 3, 2012factForm ADV
→ MCGINN, SMITH ADVISORS LLCRegistered adviserregistration: previous registration
Feb 18, 2009 to Apr 1, 2009factForm ADV

Dated events

No dated event names this entity yet.