Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Matthew Ward is a financial professional with over a decade of experience in the industry. Nicholas is currently registered with The Baker Group, LP, a firm with a strong focus on serving financial institutions and other institutional investors. Nicholas has also held previous positions at BAY CREST PARTNERS, LLC, DEALERWEB INC., RAFFERTY CAPITAL MARKETS, LLC, and WELLS FARGO ADVISORS, LLC. Nicholas is a Series 7, Series 24, and Series 63 licensed professional.
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.
Investment strategies for financial institutions and other institutional investors
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.
Negotiable fees based on % of investable assets per client
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2
NY
01/05/2023 - Present
THE Baker Group, LP (Babylon NY)
NY
08/22/2017 - 04/13/2021
BAY CREST PARTNERS, LLC (NY NY)
NY
10/11/2011 - 08/17/2017
DEALERWEB INC. (GARDEN CITY NY)
NY
04/04/2011 - 10/10/2011
RAFFERTY CAPITAL MARKETS, LLC (GARDEN CITY NY)
NY
01/14/2010 - 05/24/2010
WELLS FARGO ADVISORS, LLC (PORT JEFFERSON NY)
BC
Issued 05/27/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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