Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Mathew Lapuma is a financial advisor who has been in the industry since July 2008. Nicholas is currently registered with LPL Financial LLC and has a Series 7, Series 24, Series 52TO, Series 53 and Series 63 license as well as a Series 65 license. Nicholas has experience working with various clients including individuals, corporations, and charitable organizations. Nicholas's previous experience includes working with Raymond James Financial Services, 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.
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.
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NY
05/06/2024 - Present
LPL Financial LLC (CORNING NY)
NY
07/22/2008 - 05/08/2024
RAYMOND JAMES FINANCIAL SERVICES, INC. (CORNING NY)
IA
Issued 08/18/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/20/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2016
Series 4 - Registered Options Principal Examination
BC
Issued 06/16/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/06/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/06/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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