Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Rath is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Nicholas holds a Series 66 and a Series 7 license as well as the Securities Industry Essentials (SIE) exam. Nicholas has worked in the financial services industry since September 2016. Nicholas has previously been registered with Edward Jones. Nicholas has 14 active registrations in 16 states and is based out of the Shreveport, LA branch office of Wells Fargo Clearing Services, LLC. Nicholas is also active in the community as the Treasurer of the First Baptist Church of Keithville. Nicholas also has a part-time role in house flipping.
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.
1
2
LA
02/25/2022 - Present
Wells Fargo Clearing Services, LLC (SHREVEPORT LA)
LA
09/13/2016 - 02/28/2022
EDWARD JONES (BOSSIER CITY LA)
BOTH
Issued 09/30/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/2016
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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