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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Stafford is an experienced financial advisor with over two decades of experience in the industry. Nicholas has held various roles in the financial services sector, including positions with CIBC World Markets Corp., Lehman Brothers Inc., and Keefe, Bruyette & Woods, Inc. Currently, Nicholas serves as a Registered Representative and Investment Advisor Representative at Arkadios Wealth Advisors. Nicholas has a strong track record of providing personalized financial advice and investment strategies to a diverse clientele.
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.
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.
A percentage of the total value of assets under management is charged.
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2
GA
07/27/2023 - Present
Arkadios Wealth Advisors (Atlanta GA)
CA
04/07/2022 - 07/21/2023
EMERSON EQUITY LLC (SAN MATEO CA)
GA
01/10/2020 - 03/03/2022
BRIDGE CAPITAL ASSOCIATES, INC. (NORCROSS GA)
OH
04/09/2013 - 11/04/2013
ZELMAN PARTNERS, LLC (BAY VILLAGE OH)
GA
03/04/2002 - 02/25/2013
KEEFE, BRUYETTE & WOODS, INC. (ATLANTA GA)
NY
11/10/1999 - 02/28/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
09/22/1997 - 10/06/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/24/2020
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/04/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/13/2006
Series 24 - General Securities Principal Examination
BC
Issued 04/11/2022
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/10/2020
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 11/14/2019
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/1997
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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