Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Vafeas is an investment professional with over 20 years of experience in the financial services industry. Nicholas has been registered with Wells Fargo Clearing Services, LLC since 2019, and previously worked at Morgan Stanley and Citigroup Global Markets Inc. Nicholas is a licensed investment advisor representative in New Jersey, New York and Texas. Nicholas has a strong background in providing financial planning, portfolio management, and investment consulting services to individual and institutional clients. Nicholas has a passion for helping clients reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
10/25/2019 - Present
Wells Fargo Clearing Services, LLC (GARDEN CITY NY)
NY
06/01/2009 - 07/05/2019
MORGAN STANLEY (GARDEN CITY NY)
NY
08/08/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GARDEN CITY NY)
NY
06/16/2000 - 08/22/2008
CITIGROUP GLOBAL MARKETS INC. (GARDEN CITY NY)
IA
Issued 10/25/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/15/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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