Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Dale is a financial advisor at Charles Schwab & Co., Inc. Nicholas has been working in the financial industry since 2013, and has experience working with Ameriprise Financial Services, Inc., J.P. Morgan Securities LLC, and Cetera Investment Services LLC. Nicholas has passed the Series 63 and Series 65 examinations. In addition, Nicholas has passed the Series 7 and SIE exams. Nicholas provides financial planning and selection of other advisors services to clients. Nicholas is registered in Alabama, California, Connecticut, District of Columbia, Florida, Georgia, Indiana, Massachusetts, Michigan, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Wyoming.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TN
01/06/2020 - Present
Charles Schwab & CO., Inc. (Nashville TN)
TN
07/27/2016 - 12/26/2019
AMERIPRISE FINANCIAL SERVICES, INC. (CHATTANOOGA TN)
MI
09/11/2015 - 07/26/2016
J.P. MORGAN SECURITIES LLC (FLUSHING MI)
MI
09/05/2014 - 06/22/2015
CETERA INVESTMENT SERVICES LLC (Bay City MI)
MI
10/31/2012 - 09/08/2014
HANTZ FINANCIAL SERVICES, INC. (SAGINAW MI)
IA
Issued 03/22/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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