Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Rosato is a financial professional with over 29 years of experience in the industry. Nicholas is currently registered with J.P. Morgan Securities LLC as an investment advisor representative and general securities principal. Nicholas previously worked with J.P. Morgan Securities Inc, Bear, Stearns & Co. Inc. and Prudential Equity Group, LLC. Nicholas specializes in providing financial planning, pension consulting and portfolio management services for individuals and businesses. Nicholas is licensed to provide securities and investment advisory services in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
NY
10/01/2008 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
06/02/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/17/2007 - 06/02/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
10/14/1993 - 03/07/2007
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
BC
Issued 11/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/07/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/13/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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