Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Contristan is a financial professional with over 20 years of experience in the industry. Nicholas is currently registered with LPL Financial LLC in Fort Mill, SC. Nicholas previously held positions at CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC. Nicholas's prior registrations include LinSCO/Private Ledger Corp. and Salomon Smith Barney Inc. Nicholas holds FINRA Series 7, 6, 63, 65, 24 and 53 securities licenses and a Series 99TO license, as well as the SIE license. Nicholas provides financial planning, portfolio management, and other non-discretionary advisory services to a wide range of 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.
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.
Consulting and other non-discretionary advisory services
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
SC
06/28/2023 - Present
LPL Financial LLC (FORT MILL SC)
CA
01/06/2004 - 06/30/2020
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
07/21/2009 - 09/14/2015
SORRENTO PACIFIC FINANCIAL, LLC (SAN DIEGO CA)
SC
06/19/2001 - 12/19/2003
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
07/01/1999 - 07/02/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MD
09/26/1997 - 01/27/1998
THE ADVISORS GROUP, INC. (BETHESDA MD)
IA
Issued 11/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2023
Series 24 - General Securities Principal Examination
BC
Issued 04/26/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/26/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/26/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/26/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/24/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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