Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Salvatore Iocco is a financial advisor with over 38 years of experience in the financial services industry. Nicholas is currently registered with Wells Fargo Clearing Services, LLC in Marlton, New Jersey. Nicholas is a Series 7, 9, 10, 31, and 63 licensed advisor, and holds the SIE. Previously, Nicholas was registered with A. G. EDWARDS & SONS, INC. and PHILIPS, APPEL & WALDEN, INC. Nicholas provides investment advice to individual and institutional clients.
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.
1
2
NJ
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (MARLTON NJ)
NJ
04/25/1988 - 01/03/2008
A. G. EDWARDS & SONS, INC. (MARLTON NJ)
NA
12/18/1984 - 04/28/1988
PHILIPS, APPEL & WALDEN, INC.
BC
Issued 01/09/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/12/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 12/15/1984
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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