Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Lee Sumpter is a registered representative with Schwab Wealth Advisory, Inc. Nicholas Sumpter has been in the securities industry since March 12, 2015. Nicholas Sumpter is licensed in Indiana, Texas and 34 other states. Nicholas Sumpter has passed the Series 63, Series 66, Series 7 and the SIE exam. Nicholas Sumpter provides financial planning, portfolio management for individuals and portfolio management for businesses. Nicholas Sumpter also works with Schwab Wealth Advisory, Inc.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
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2
IN
01/11/2021 - Present
Schwab Wealth Advisory, Inc. (INDIANAPOLIS IN)
BOTH
Issued 05/09/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/29/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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