Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Patti is a financial advisor with Wells Fargo Clearing Services, LLC. Nicholas has been in the industry since November 2006 and has a combined 17 years of experience. Nicholas is registered with FINRA and holds Series 7, SIE, 63, and 66 licenses. In addition to his current role at Wells Fargo Clearing Services, LLC, Nicholas has previously worked at CHASE INVESTMENT SERVICES CORP., NATIONAL SECURITIES CORPORATION, and JOSEPH STEVENS & COMPANY, INC. Nicholas is registered in 17 states for both Broker/Dealer and Investment Advisor activities. Nicholas works with a variety of client types, including individuals, businesses, institutions, and retirement plans. Nicholas offers a range of services including portfolio management, financial planning, investment consulting, and selection of other advisors. Nicholas is committed to providing clients with personalized financial advice and helping them achieve 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.
1
2
NJ
01/31/2024 - Present
Wells Fargo Clearing Services, LLC (SUMMIT NJ)
NY
11/21/2008 - 01/11/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NJ
04/29/2008 - 09/25/2008
NATIONAL SECURITIES CORPORATION (OLD BRIDGE NJ)
NY
08/23/2006 - 04/30/2008
JOSEPH STEVENS & COMPANY, INC. (NEW YORK NY)
BOTH
Issued 01/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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