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Nicholas George Esposito

Charles Schwab & CO., Inc.

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About Nicholas George Esposito

Nicholas Esposito is an Investment Advisor Representative at Charles Schwab & CO., Inc. located in Westlake, Texas. Nicholas has been in the industry since August 8, 2021. Nicholas holds a Series 66 and Series 63 license and has been registered with the state of North Carolina since September 27, 2021. Nicholas also holds a Series 7TO, Series 9, Series 10 and SIE license and has been registered with the state of Texas since September 7, 2021. Nicholas has been registered with the state of North Carolina since April 22, 2023 and the state of Texas since May 22, 2023 as an Investment Advisor Representative.

Firm Information

Nicholas Esposito is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Nicholas Esposito’s Registration & Firm History

TX

05/22/2023 - Present

Charles Schwab & CO., Inc. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 03/30/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/07/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/20/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 07/25/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/09/2021

Series 7TO - General Securities Representative Examination

BC

Issued 06/28/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Nicholas George Esposito.
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