Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas James Sarto is a financial advisor associated with Raymond James & Associates, Inc. Nicholas holds active FINRA Series 7, 66 and SIE registrations. Nicholas has been working in the financial industry since 2018. Nicholas is registered with the states of Arizona, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia, Washington, and West Virginia. Nicholas also has active registrations with the states of New Jersey, New York, and Texas. The firm, Raymond James & Associates, Inc., is located in St. Petersburg, FL and has over $433 Billion in regulatory assets under management. The firm has offices across the United States, with over 7,700 registered representatives, and over 5,500 investment advisor representatives.
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
NY
05/18/2020 - Present
Raymond James & Associates, Inc. (ROCHESTER NY)
BOTH
Issued 03/22/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2017
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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