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RIA / WealthAdvisorCertified Financial Planner10 years in industry

Sean C Nicol

Advisor at MOSAIC WEALTH

ST. LOUIS, MO | SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:e31e95ca-10b9-d49e-7d05-42577c7627db

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 6, 2016 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: MOSAIC WEALTH
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: May 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 30, 2016
First registration: Jul 6, 2016
Dual registered: no
Other names: Sean Nicol|Sean C Nicol
IAPD individual key: 6635634

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
MOSAIC WEALTH	Independent wealth	Mar 30, 2026	n/a	yes	SCOTTSDALE, AZ\|ST. LOUIS, MO	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Nov 19, 2021	Jan 12, 2026	no	Scottsdale, AZ\|Scottsdale, AZ\|MERIDEN, CT	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 6, 2020	Oct 8, 2021	no	SCOTTSDALE, AZ	Previous registration
HORNOR, TOWNSEND & KENT, LLC	Independent wealth	Oct 17, 2019	Nov 2, 2020	no	SCOTTSDALE, AZ	Previous registration
STRATEGY FINANCIAL GROUP	Independent wealth	Oct 3, 2018	Sep 3, 2019	no	PHOENIX, AZ	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jul 6, 2016	Jul 20, 2018	no	Thousand Oaks, CA\|Durango, CO\|Ignacio, CO\|Scottsdale, AZ	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
OSAIC INSTITUTIONS, INC.	MOSAIC WEALTH	Jan 12, 2026	Mar 30, 2026	77	Firm change	Ibd to RIA
OSAIC WEALTH, INC.	OSAIC INSTITUTIONS, INC.	Oct 8, 2021	Nov 19, 2021	42	Firm change	Ibd to ibd
HORNOR, TOWNSEND & KENT, LLC	OSAIC WEALTH, INC.	Nov 2, 2020	Nov 6, 2020	4	Bulk transfer	Ibd to ibd
STRATEGY FINANCIAL GROUP	HORNOR, TOWNSEND & KENT, LLC	Sep 3, 2019	Oct 17, 2019	44	Firm change	RIA to ibd
THRIVENT INVESTMENT MANAGEMENT INC.	STRATEGY FINANCIAL GROUP	Jul 20, 2018	Oct 3, 2018	75	Firm change	Ibd to RIA

Relationships

Registered with (6)

→ MOSAIC WEALTHRegistered adviserregistration: current employment
Mar 30, 2026 to presentfactForm ADV
→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Nov 19, 2021 to Jan 12, 2026factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 6, 2020 to Oct 8, 2021factForm ADV
→ HORNOR, TOWNSEND & KENT, LLCRegistered adviserregistration: previous registration
Oct 17, 2019 to Nov 2, 2020factForm ADV
→ STRATEGY FINANCIAL GROUPRegistered adviserregistration: previous registration
Oct 3, 2018 to Sep 3, 2019factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jul 6, 2016 to Jul 20, 2018factForm ADV

Dated events

Occurred
Jan 12, 2026
Advisor changed firm
Sean C Nicol left Osaic Institutions, Inc. for Mosaic Wealth (registered 2026-03-30)
Form ADVobserved 4 days ago