Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Dodd is a financial advisor with Raymond James & Associates, Inc. based in Conshohocken, Pennsylvania. Nicholas has been in the industry since 2001 and has worked with several other firms. Nicholas's prior experience includes roles at Piper Sandler & Co., RBC Capital Markets, LLC, and Kinsell, Newcomb & De Dios, Inc. Nicholas has passed the Series 7, Series 50, SIE, and Series 79TO exams and is registered in Arizona, New Mexico, and Utah.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
1
2
PA
05/22/2023 - Present
Raymond James & Associates, Inc. (Conshohocken PA)
AZ
06/07/2018 - 06/05/2023
PIPER SANDLER & CO. (PHOENIX AZ)
AZ
03/07/2001 - 04/03/2018
RBC CAPITAL MARKETS, LLC (PHOENIX AZ)
CA
12/21/2000 - 02/28/2001
KINSELL, NEWCOMB & DE DIOS, INC (CARLSBAD CA)
BC
Issued 07/02/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 12/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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