Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Soares is a financial advisor currently working with Wells Fargo Clearing Services, LLC. Nicholas has been in the industry since December 7, 1981. Nicholas has a wide range of experience and holds the Series 7, Series 24, Series 63 and Series 65 licenses. Nicholas specializes in working with high-net-worth individuals, corporations or other businesses, pension and profit-sharing plans, charitable organizations, individuals other than high-net-worth, insurance companies and banking or thrift institutions. Previously, Nicholas was employed by First Union Capital Markets Corp. in Charlotte, NC, A. G. Edwards & Sons, Inc. in St. Louis, MO, and First Jersey Securities, Inc.
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
CT
08/21/2019 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
NC
07/26/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
MO
05/09/1986 - 07/28/1999
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
12/08/1981 - 05/21/1986
FIRST JERSEY SECURITIES, INC.
IA
Issued 10/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/1984
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1981
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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