Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Fazio is a financial advisor registered with LPL Financial LLC. Nicholas has been in the financial services industry since 2006 and has experience in a variety of roles, including working with both Santander Securities LLC and IFMG Securities, Inc. Nicholas currently works out of the LPL Financial LLC branch office in Woburn, MA. Nicholas holds Series 6, 7, and 63 securities licenses as well as a Series 65 investment advisor license. Nicholas specializes in providing investment advisory services to individuals, businesses, and retirement plans.
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
MA
05/16/2016 - Present
LPL Financial LLC (WOBURN MA)
MA
09/19/2012 - 09/27/2012
SANTANDER SECURITIES LLC (WALTHAM MA)
MA
05/27/2008 - 09/19/2012
LPL FINANCIAL LLC (WALTHAM MA)
NY
09/26/2006 - 05/27/2008
IFMG SECURITIES, INC. (PURCHASE NY)
NY
10/14/2005 - 04/13/2006
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 04/28/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2011
Series 7 - General Securities Representative Examination
BC
Issued 10/13/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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