Nicholas W. Cioffi

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CRD#: 1090646

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas William Cioffi, who also goes by Nicholas William Cioff, Nick Cioffi, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1983. Nicholas had worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas William Cioff | Nick Cioffi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 10, 2011 - February 2, 2021

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

RIA

CRD#: 135288

EAGLE, ID

Past

June 10, 2011 - February 2, 2021

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288

EAGLE, ID

Past

June 22, 2007 - June 10, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

BOISE, ID

Past

June 22, 2007 - June 10, 2011

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

BOISE, ID

Past

May 16, 2005 - February 16, 2007

DBSI SECURITIES CORPORATION

CRD#: 11687

MERIDIAN, ID

Past

April 10, 2003 - February 23, 2005

UNITED HERITAGE FINANCIAL SERVICES, INC.

RIA

CRD#: 35316

MERIDIAN, ID

Past

January 14, 2002 - February 23, 2005

UNITED HERITAGE FINANCIAL SERVICES, INC.

CRD#: 35316

MERIDIAN, ID

Past

August 2, 2000 - January 14, 2002

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

January 6, 2000 - June 20, 2000

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

November 3, 1999 - December 13, 1999

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

July 2, 1999 - October 15, 1999

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

April 2, 1992 - February 18, 1998

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

July 25, 1990 - April 14, 1992

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

April 21, 1989 - August 3, 1990

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 20, 1988 - May 31, 1988

MCGINN, SMITH & CO., INC.

CRD#: 8453

Past

June 4, 1984 - April 26, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

February 27, 1984 - June 11, 1984

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Past

March 2, 1983 - November 8, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA

Registered Investment Advisory firm - SEC (5/27/2008 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

California

Registered Investment Advisory firm - SEC (6/4/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/3/2008 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/11/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/5/2008 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/16/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (7/8/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/31/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/1992

General Securities Principal Examination

Current Firm

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288 / SEC#: 801-69138, 8-66905

RIA

Registered Investment Advisory firm - SEC (5/27/2008 Approved)

Arizona

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

California

Registered Investment Advisory firm - SEC (6/4/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (7/3/2008 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/11/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (6/5/2008 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/16/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (7/8/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (6/9/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (6/3/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

664 S Rivershore Lane Suite 150, Eagle, ID 83616

Mailing Address

Po Box 579, Eagle, ID 83616

Phone number

(208) 489-3131

Established

Idaho since 12/30/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (49 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV2A - AMENDED 11/6/2025 (11/6/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLSON, RYAN SHANE	MEMBER, CEO	4209072
FAXON, REYHEENA MARIA	PRINCIPAL, FINOP	4219599
KERBEIN, SHEILA A	PRINCIPAL, CHIEF COMPLIANCE OFFICER	5571772
THOMAS, JOSEPH ALLISON JR	MUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER	1484206

Regulatory assets under management

Total Number of Accounts	2,987
AUM (Assets Under Management)	$ 604,888,609

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nicholas W. Cioffi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

DBSI SECURITIES CORPORATION

UNITED HERITAGE FINANCIAL SERVICES, INC.

UNITED HERITAGE FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

CUNA BROKERAGE SERVICES, INC.

EDWARD JONES

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

KEY INVESTMENTS INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

TUCKER ANTHONY INCORPORATED

MCGINN, SMITH & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST JERSEY SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2007

Series 63

Date: 2/17/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 6

Date: 1/31/1983

Series 24

Date: 12/17/1992

Current Firm

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

TRUST BUT VERIFY

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