Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Flatness is a financial advisor who has been in the industry since 2010. Nicholas currently works for Principal Securities, Inc. Nicholas is registered to provide investment advice in 18 states and is also a registered representative in 1 state. Nicholas has a variety of licenses including series 6, 7, 24, 63 and 66 licenses. Nicholas also holds a SIE license. Nicholas has a strong background in financial planning and portfolio management. Nicholas has experience working with a variety of clients, including individuals, businesses, and institutions. Nicholas provides a wide range of services to clients, including financial planning, investment management, and retirement planning. Nicholas is committed to providing clients with personalized financial advice that meets their specific needs. Nicholas is also committed to staying up-to-date on the latest industry trends and regulations.
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.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
MN
07/28/2022 - Present
Principal Securities, Inc. (MINNETONKA MN)
MN
11/27/2017 - 01/31/2020
PARK AVENUE SECURITIES LLC (MINNEAPOLIS MN)
MN
03/25/2017 - 11/14/2017
MML INVESTORS SERVICES, LLC (MINNETONKA MN)
MN
07/21/2014 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (MINNETONKA MN)
MN
10/25/2013 - 07/22/2014
WADDELL & REED (BLOOMINGTON MN)
MN
06/13/2006 - 06/22/2009
WADDELL & REED, INC. (ROCHESTER MN)
BOTH
Issued 11/20/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/18/2020
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2013
Series 7 - General Securities Representative Examination
BC
Issued 06/12/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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