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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Borgfeldt is a financial advisor with over 40 years of experience in the financial services industry. Nicholas is currently registered with Wells Fargo Clearing Services, LLC in Pennsylvania and Texas. Prior to joining Wells Fargo Clearing Services, LLC, Nicholas worked at Morgan Stanley, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Paine Webber Incorporated. Nicholas holds Series 7, Series 63, and Series 65 licenses. Nicholas provides investment consulting services to institutional clients, financial planning, pension consulting, and selection of other advisers.
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
PA
07/17/2015 - Present
Wells Fargo Clearing Services, LLC (CANONSBURG PA)
PA
06/01/2009 - 07/31/2015
MORGAN STANLEY (UPPER ST. CLAIR PA)
PA
02/17/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (UPPER ST. CLAIR PA)
PA
05/04/1999 - 02/21/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (UPPER ST. CLAIR PA)
NJ
12/20/1993 - 05/14/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NC
01/01/1991 - 12/22/1993
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NY
04/15/1988 - 01/09/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/14/1990 - 01/01/1991
BUTCHER & SINGER INC.
NA
01/31/1980 - 05/06/1988
PAINEWEBBER INCORPORATED
NA
09/26/1978 - 09/27/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
05/16/1979 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
04/21/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 06/15/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/1977
PC - AMEX Put and Call Exam
BC
Issued 04/16/1977
Series 7 - General Securities 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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