Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Harper is a financial advisor who has been working in the industry since 2000. Nicholas is currently registered with Charles Schwab & CO., Inc. and has held previous positions with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, CETERA INVESTMENT SERVICES LLC, U.S. BANCORP INVESTMENTS, INC., AMTRUST INVESTMENT SERVICES, INC., CHASE INVESTMENT SERVICES CORP., ICAPITAL MARKETS LLC, and LEHMAN BROTHERS INC. Nicholas has passed the Series 63, 65, 7, and 55 exams and holds a SIE designation. Nicholas is licensed to conduct business in Arizona and specializes in providing financial planning and portfolio management services.
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
AZ
06/28/2024 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
11/27/2017 - 05/02/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)
AZ
03/21/2013 - 11/28/2017
CETERA INVESTMENT SERVICES LLC (MESA AZ)
AZ
04/16/2008 - 02/19/2013
U.S. BANCORP INVESTMENTS, INC. (CHANDLER AZ)
AZ
01/10/2007 - 05/16/2007
AMTRUST INVESTMENT SERVICES, INC. (PHOENIX AZ)
IL
10/29/2002 - 02/16/2006
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NE
04/27/2000 - 01/31/2002
ICAPITAL MARKETS LLC (OMAHA NE)
NY
11/28/1998 - 02/10/2000
LEHMAN BROTHERS INC. (NEW YORK NY)
TX
05/14/1998 - 08/31/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
IA
Issued 02/13/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/07/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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