Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Difalco is a financial advisor registered with Ameriprise Financial Services, LLC. Nicholas has over 30 years of experience in the financial services industry. Nicholas is a registered representative in Connecticut, New York, and Texas. Nicholas also holds Series 63, Series 65, Series 7 and SIE licenses. Nicholas specializes in providing financial planning, asset allocation services, and portfolio management for individuals, businesses, and institutions. Nicholas is dedicated to providing his clients with personalized financial advice and strategies to help them reach 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.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
CT
06/28/2019 - Present
Ameriprise Financial Services, LLC (Westport CT)
CT
01/29/2002 - 10/31/2011
NORTHEAST SECURITIES, INC. (SOUTHPORT CT)
CT
05/26/1999 - 06/14/2002
WESTPORT PARTNERS LTD (SOUTHPORT CT)
NY
07/01/1998 - 01/28/2000
EGS SECURITIES CORP. (NEW YORK NY)
NY
03/09/1998 - 07/13/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
06/04/1997 - 03/15/1998
HAMPSHIRE SECURITIES CORPORATION (NEW YORK NY)
NY
03/11/1997 - 07/03/1997
RICKEL & ASSOCIATES, INC. (NEW YORK NY)
NY
11/02/1990 - 03/12/1997
D. H. BLAIR & CO., INC. (NEW YORK NY)
IA
Issued 11/22/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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