Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Bormann is a financial advisor registered with Wells Fargo Clearing Services, LLC, and has been in the industry since October 2002. Nicholas is registered with the Securities and Exchange Commission (SEC) as a broker-dealer (BD) and as an investment advisor representative (IAR) with Wells Fargo Clearing Services, LLC. The firm is headquartered in St. Louis, Missouri. Nicholas has a diverse range of experience in the financial services industry, having held positions at Wells Fargo Investments, LLC, and Northwestern Mutual Investment Services, LLC. Nicholas holds the Series 6, Series 7, Series 63, and Series 66 licenses. They are also a Certified Financial Planner. Nicholas works with individuals, families, and businesses, helping them to reach their financial goals.
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.
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.
Investment consulting services to institutional clients
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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2
MN
11/12/2013 - Present
Wells Fargo Clearing Services, LLC (WAYZATA MN)
MN
06/18/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ROGERS MN)
WI
10/11/2002 - 06/16/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (EAU CLAIRE WI)
BOTH
Issued 07/23/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/2003
Series 7 - General Securities Representative Examination
BC
Issued 10/10/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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