Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Roberts is a financial advisor with Wells Fargo Clearing Services, LLC, with over 16 years of experience in the industry. Nicholas is licensed to offer financial advice in 43 states. Nicholas has worked for Morgan Stanley and Morgan Stanley & Co. Incorporated in the past. Nicholas has a series 7, 31 and 66 license and holds the Securities Industry Essentials Examination (SIE) certification. Nicholas is also licensed to offer financial advice in Texas and Utah. Nicholas Roberts specializes in providing financial advice for individuals, businesses, trusts, pensions and retirement plans. Nicholas also specializes in portfolio management and providing financial consulting services to institutional clients.
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.
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.
Investment consulting services to institutional clients
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.
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2
UT
09/08/2022 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
06/01/2009 - 09/12/2022
MORGAN STANLEY (Holladay UT)
UT
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SOUTH JORDAN UT)
UT
10/06/2006 - 04/02/2007
MORGAN STANLEY DW INC. (WEST VALLEY CITY UT)
BOTH
Issued 02/07/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/05/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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