Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Capezzuto is a financial advisor who has been in the industry since 1991. Nicholas is currently registered with Steward Partners Investment Advisory, LLC and holds Series 7, 63, 65, 72, and 99 licenses. Nicholas has previously worked with a variety of firms including StoneX Financial Inc., Multi-Bank Securities, Inc., Oppenheimer & Co. Inc., Guggenheim Securities, LLC, HSBC Securities (USA) Inc., Hilliard Farber & Co., Inc., Barclays Capital Inc., Salomon Smith Barney Inc., Salomon Brothers Inc., and Dean Witter Reynolds Inc. Nicholas specializes in providing financial consulting and portfolio management for individuals.
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.
Personalized portfolio management to meet individual financial objectives.
Financial consulting
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.
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2
NY
11/15/2024 - Present
Steward Partners Investment Advisory, LLC (NEW YORK NY)
NY
07/20/2018 - 02/05/2024
STONEX FINANCIAL INC. (NEW YORK NY)
NJ
09/28/2017 - 05/30/2018
MULTI-BANK SECURITIES, INC. (Parsippany NJ)
NY
10/12/2016 - 06/14/2017
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
08/05/2015 - 06/29/2016
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
03/10/2011 - 05/18/2015
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NJ
07/01/2009 - 03/02/2011
HILLIARD FARBER & CO., INC. (JERSEY CITY NJ)
NY
03/13/2002 - 04/20/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
11/28/1997 - 03/26/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/15/1991 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NY
02/13/1991 - 05/06/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 06/04/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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