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CFP

Nicola Dipaolo

Kovack Advisors, INC.
24 Years of Experience
Franklin, TN
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Nicola Dipaolo is a CFP-designated registered investment advisor at Kovack Advisors, INC., based in Franklin, TN, with 24 years of industry experience. Nicola is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
258 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

99 East Main Street, Suite 200, Franklin, TN, 37064

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
February 2023
Final
Employment Separation After Allegations
November 2019
Financial
March 2018
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nicola is the President/Financial Professional at Dipaolo Wealth Management LLC since 2015, utilizing a DBA name and acting as an independent insurance agent for various companies. This activity takes nearly full-time, with 28 hours per week dedicated to trading.

Employment History
Current Registrations
Kovack Advisors, INC.
November 2020 - Present · 5 yrs 11 mos
Kovack Securities INC.Broker
November 2020 - Present · 5 yrs 11 mos
Previous Registrations
Vanderbilt Advisory Services
January 2020 - October 2020 · 9 mos
Vanderbilt Securities, LLCBroker
December 2019 - October 2020 · 10 mos
Cambridge Investment Research, INC.Broker
October 2018 - December 2019 · 1 yr 2 mos
Cambridge Investment Research Advisors, INC.
October 2018 - December 2019 · 1 yr 2 mos
VALIC Financial Advisors, INC.Broker
September 2018 - October 2018 · 1 mo
VALIC Financial Advisors, INC.
September 2018 - September 2018 · 0 mos
Cambridge Investment Research Advisors, INC.
February 2015 - October 2018 · 3 yrs 8 mos
Cambridge Investment Research, INC.Broker
February 2015 - October 2018 · 3 yrs 8 mos
LPL Financial LLC
January 2012 - February 2015 · 3 yrs 1 mo
LPL Financial LLCBroker
January 2012 - February 2015 · 3 yrs 1 mo
The Huntington Investment CompanyBroker
November 2011 - December 2011 · 1 mo
LPL Financial LLC
February 2011 - December 2011 · 10 mos
Stratos Wealth Partners, LTD
September 2010 - December 2011 · 1 yr 3 mos
LPL Financial Corporation
May 2005 - December 2010 · 5 yrs 7 mos
LPL Financial LLCBroker
April 2005 - December 2011 · 6 yrs 8 mos
Fifth Third Securities, INC.
February 2005 - May 2005 · 3 mos
Fifth Third Securities, INC.Broker
March 2002 - May 2005 · 3 yrs 2 mos
State Registrations4 states
INKYOHTN
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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