Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Barnwell is a financial advisor with Charles Schwab & CO., Inc. based in Westlake, TX. Nicholas has been in the industry since 1991. Nicholas is registered with FINRA, the state of New York and Texas and has passed several industry exams including Series 7, 6, 63 and 65, along with the SIE. Nicholas is also a Certified Financial Planner. In addition to his work with Charles Schwab, Nicholas is also affiliated with Charles Schwab Bank. Nicholas has previously worked at USAA Financial Advisors, Inc., Allianz Life Financial Services, LLC, Comprehensive Asset Management and Servicing, Inc., Valmark Securities, Inc., John Hancock Distributors LLC and Manulife Wood Logan, Inc. Nicholas specializes in financial planning and investment management.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
01/04/2020 - Present
Charles Schwab & CO., Inc. (Westlake TX)
NY
05/22/2012 - 10/28/2014
USAA FINANCIAL ADVISORS, INC. (NEW YORK NY)
MN
05/24/2011 - 05/16/2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)
NJ
12/07/2009 - 05/13/2011
COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC. (ROCKAWAY NJ)
NY
05/13/2009 - 12/01/2009
VALMARK SECURITIES, INC. (NEW YORK NY)
MA
01/01/2002 - 04/16/2009
JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)
CT
01/26/1990 - 12/19/2000
MANULIFE WOOD LOGAN, INC. (STAMFORD CT)
IA
Issued 02/08/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/06/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/25/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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