Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Cockerham is a financial advisor with Raymond James & Associates, Inc. Nicholas has been in the financial services industry for over 11 years and has experience in providing investment advice to individuals, corporations, and institutions. Nicholas holds both Series 6 and Series 7 securities licenses as well as a Series 63 and a Series 65 license. Prior to joining Raymond James & Associates, Inc., Nicholas was a financial advisor at Capitol Securities Management, Inc. and Wells Fargo Advisors, LLC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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
VA
02/15/2017 - Present
Raymond James & Associates, Inc. (Richmond VA)
VA
06/20/2012 - 02/16/2017
CAPITOL SECURITIES MANAGEMENT, INC. (GLEN ALLEN VA)
VA
05/10/2011 - 06/27/2012
WELLS FARGO ADVISORS, LLC (GOOCHLAND VA)
IA
Issued 01/31/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2012
Series 7 - General Securities Representative Examination
BC
Issued 05/06/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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