Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Sergio has been in the financial services industry since April 1993. Currently, Nicholas Sergio is a Registered Representative at Raymond James Financial Services Advisors, INC, working out of the Red Bank, NJ branch. Nicholas Sergio holds a Series 7, Series 24, Series 63, and Series 66 license. Nicholas Sergio has been registered with the Securities and Exchange Commission (SEC) since January 2009. Before joining Raymond James Financial Services Advisors, INC, Nicholas Sergio was employed by BLUESTONE CAPITAL CORP. from April 2001 to June 2001, BLUESTONE CAPITAL SECURITIES, INC. from October 1998 to April 2001, BARINGTON CAPITAL GROUP, L.P. from April 1998 to October 1998, and D. H. BLAIR & CO., INC. from March 1993 to April 1998. Nicholas Sergio has also been registered with the following states: Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Indiana, Iowa, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington. Nicholas Sergio provides financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NJ
10/29/2010 - Present
Raymond James Financial Services Advisors, Inc. (RED BANK NJ)
NY
04/23/2001 - 06/25/2001
BLUESTONE CAPITAL CORP. (NEW YORK NY)
NY
10/27/1998 - 04/11/2001
BLUESTONE CAPITAL SECURITIES, INC. (NEW YORK NY)
NY
04/29/1998 - 10/29/1998
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
NY
03/22/1993 - 04/14/1998
D. H. BLAIR & CO., INC. (NEW YORK NY)
BOTH
Issued 6/13/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/27/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/9/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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