Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Franco is a financial advisor with Wells Fargo Clearing Services, LLC based in Baton Rouge, LA. Nicholas has been in the industry since July 2016, and is registered with FINRA, and the states of Louisiana, Texas and several others. Nicholas has a broad range of experience and holds a Series 7, 9, 10, and 66 licenses. Nicholas offers investment advice to individuals, families, and businesses.
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
LA
10/19/2018 - Present
Wells Fargo Clearing Services, LLC (BATON ROUGE LA)
LA
08/01/2016 - 10/23/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BATON ROUGE LA)
BOTH
Issued 10/19/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/07/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/29/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2016
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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