Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Roth is a financial advisor with Raymond James & Associates, Inc. in Grand Rapids, Michigan. Nicholas has been in the financial services industry since 2014. Nicholas is registered with the state of Michigan to provide investment advisory services and the state of Michigan to provide securities services. Nicholas also holds the Series 7 and Series 66 licenses. Nicholas has experience with a range of client types, including high-net-worth individuals, corporations, and pension plans. Nicholas provides a range of services, including financial planning, portfolio management, and selection of other advisors.
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
MI
02/11/2016 - Present
Raymond James & Associates, Inc. (Grand Rapids MI)
CO
11/17/2014 - 01/13/2016
FIDELITY BROKERAGE SERVICES LLC (GREENWOOD VILLAGE CO)
BOTH
Issued 06/04/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/24/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2014
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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