Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Penna is a financial advisor with over 13 years of experience in the industry. Nicholas is currently registered with Fidelity Brokerage Services LLC and National Financial Services LLC. Nicholas is licensed to provide financial advice in all 50 states and the District of Columbia.
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.
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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2
MA
04/23/2010 - Present
Fidelity Brokerage Services LLC (BOSTON MA)
BC
Issued 05/06/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2019
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/22/2010
Series 7 - General Securities Representative Examination
Active
Inactive
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BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
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Nasdaq BX, Inc.
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Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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