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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 Wentworth Walsh is a financial advisor at Wells Fargo Advisors Financial Network, LLC. Nicholas has been in the financial services industry since 1998. Nicholas is registered to provide investment advice in Connecticut and Texas. Nicholas holds the Series 7, Series 10, Series 31, Series 63, and Series 65 licenses. Nicholas also holds the SIE exam and is a Certified Financial Planner. Nicholas has experience working with high-net-worth individuals, corporations, and charitable organizations. Nicholas provides financial planning, investment consulting, and portfolio management services.
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
07/13/2018 - Present
Wells Fargo Advisors Financial Network, LLC (AVON CT)
CT
07/08/2005 - 07/13/2018
WELLS FARGO CLEARING SERVICES, LLC (WEST HARTFORD CT)
CT
07/28/1998 - 07/20/2005
ADVEST, INC. (HARTFORD CT)
IA
Issued 08/26/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/22/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/27/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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