Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Stanton is a financial professional with over 15 years of experience in the industry. Nicholas is a Registered Representative and Investment Advisor Representative currently affiliated with Charles Schwab & CO., Inc. Nicholas has previously worked with TD Ameritrade, Inc. and Fidelity Investments Institutional Services Company, Inc. Nicholas is licensed in 51 states and holds the Series 6, 7, 9, 10, 63, and 66 licenses, as well as the SIE. Nicholas is a Certified Financial Planner. Nicholas is committed to providing clients with personalized financial advice and guidance.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
01/26/2022 - Present
Charles Schwab & CO., Inc. (WESTLAKE TX)
TN
10/05/2012 - 12/31/2023
TD AMERITRADE, INC. (BRENTWOOD TN)
RI
08/29/2008 - 10/04/2012
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
BOTH
Issued 10/16/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/28/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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