Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Pontilena is a financial advisor with over 20 years of experience in the financial services industry. He is registered as a Registered Representative and Investment Advisor Representative in 11 states. Nicholas has worked with a variety of firms, including Morgan Stanley, LPL Financial LLC, and Equity Services, Inc. Nicholas is a Certified Financial Planner™ and holds a Series 7, Series 24, Series 31, Series 55, and SIE license. Nicholas offers a wide range of financial services, including financial planning, investment management, and insurance sales. He is committed to helping his clients achieve 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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NJ
06/07/2013 - Present
Equity Services, Inc. (ROSELAND NJ)
NJ
08/21/2009 - 06/24/2013
LPL FINANCIAL LLC (PARAMUS NJ)
NJ
06/01/2009 - 08/24/2009
MORGAN STANLEY SMITH BARNEY (FAIRFIELD NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FAIRFIELD NJ)
NJ
06/03/2003 - 04/02/2007
MORGAN STANLEY DW INC. (FAIRFIELD NJ)
TX
09/12/2000 - 09/27/2001
FLEET SECURITIES, INC. (DALLAS TX)
BOTH
Issued 07/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/22/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/10/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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