Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Casey? Claim Your ProfileCasey Gavin Nicholas is a registered representative with Advisors Asset Management, Inc. in New York, NY. Casey has been in the industry since 2006 and has held previous positions with firms such as Transamerica Capital, Inc., Integrity Funds Distributor, LLC, Foreside Fund Services, LLC, and Hartford Life Distributors, LLC. Casey has experience with portfolio management for businesses, individuals, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Supervisor/evaluator to unit investment trusts
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
NY
02/21/2023 - Present
Advisors Asset Management, Inc. (NEW YORK NY)
CO
10/23/2018 - 02/08/2023
TRANSAMERICA CAPITAL, INC. (DENVER CO)
ND
08/02/2017 - 10/22/2018
INTEGRITY FUNDS DISTRIBUTOR, LLC (MINOT ND)
DE
05/16/2012 - 07/20/2017
FORESIDE FUND SERVICES, LLC (Wilmington DE)
PA
02/05/2011 - 04/16/2012
HARTFORD LIFE DISTRIBUTORS, LLC (RADNOR PA)
NY
01/19/2005 - 12/31/2006
EVOLUTION FINANCIAL TECHNOLOGIES, LLC (NEW YORK NY)
IL
03/03/2003 - 01/14/2004
ASSENT LLC (BOLINGBROOK IL)
NY
12/06/2002 - 03/03/2003
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
FL
01/01/2002 - 09/30/2002
VFINANCE INVESTMENTS, INC (BOCA RATON FL)
FL
03/07/2001 - 01/01/2002
VFINANCE INVESTMENTS (BOCA RATON FL)
BC
Issued 02/11/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2015
Series 7 - General Securities Representative Examination
BC
Issued 02/04/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/07/2003
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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