Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Maffeo is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC. Nicholas Maffeo has been in the financial services industry since February 18, 1986. Prior to joining Wells Fargo, Nicholas Maffeo worked at Prudential Securities Incorporated and Shearson Lehman Hutton Inc. Nicholas Maffeo provides financial planning services and investment consulting services to institutional clients.
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
CA
10/22/2010 - Present
Wells Fargo Clearing Services, LLC (PALM DESERT CA)
NY
01/22/1990 - 11/06/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/15/1988 - 02/12/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
02/19/1986 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 07/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1986
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
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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