Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Thomas Poulos is a financial professional with over 30 years of experience in the financial services industry. Nicholas is currently registered as a Registered Representative (RR) and Investment Advisor Representative (IAR) with Osaic Institutions, Inc., in Pennsylvania and Texas. Nicholas has previously worked with CETERA Investment Services LLC, SORRENTO PACIFIC FINANCIAL, LLC, UVEST FINANCIAL SERVICES GROUP, INC., NATHAN & LEWIS SECURITIES, INC., BISYS BROKERAGE SERVICES, INC., PRUCO SECURITIES CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA. Nicholas is also a Chartered Financial Consultant. Nicholas has a proven track record of providing comprehensive financial planning, investment advisory, and retirement planning services to a diverse clientele, including individuals, families, corporations, and charitable organizations. Nicholas specializes in the following: investment strategies, retirement planning, insurance planning, college savings plans, and estate planning. Nicholas is committed to providing his clients with personalized financial advice and guidance to help them 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.
Solicitation services for other advisers
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
PA
10/03/2022 - Present
Osaic Institutions, Inc. (Clearfield PA)
PA
01/16/2018 - 09/30/2022
CETERA INVESTMENT SERVICES LLC (CLEARFIELD PA)
PA
12/10/2008 - 01/12/2018
SORRENTO PACIFIC FINANCIAL, LLC (CLEARFIELD PA)
PA
01/12/2001 - 12/12/2008
UVEST FINANCIAL SERVICES GROUP, INC. (CLEARFIELD PA)
NY
06/14/2000 - 01/23/2001
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
MN
09/25/1998 - 06/14/2000
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
NJ
03/23/1990 - 10/01/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
03/23/1990 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 11/25/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2015
Series 7 - General Securities Representative Examination
BC
Issued 03/22/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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