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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Luce is a financial advisor who has been in the industry for over 16 years. Nicholas is registered with Wells Fargo Clearing Services, LLC, and has a branch office in Beaumont, CA. Nicholas is also registered with the state of Texas as an Investment Advisor Representative. Previously, Nicholas worked for Citigroup Global Markets Inc. and Citicorp Investment Services. Nicholas holds Series 6, 7, 63, and 66 licenses. Nicholas specializes in investments and retirement planning, and he has experience working with a variety of client types, including individuals, corporations, and charitable organizations.
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.
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.
Investment consulting services to institutional clients
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.
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2
CA
12/17/2020 - Present
Wells Fargo Clearing Services, LLC (BEAUMONT CA)
CA
05/29/2007 - 06/11/2015
CITIGROUP GLOBAL MARKETS INC. (BEAUMONT CA)
CA
07/27/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (BANNING CA)
BOTH
Issued 12/27/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2010
Series 7 - General Securities Representative Examination
BC
Issued 05/25/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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