Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nick? Claim Your ProfileNick J. Rich is a registered representative with Raymond James & Associates, Inc. Nick is a highly experienced advisor with over 14 years of experience in the industry. Nick has a strong background in financial planning, portfolio management, and securities trading.
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.
Please see note in schedule d - miscellaneous
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
NJ
08/30/2023 - Present
Raymond James & Associates, Inc. (MORRISTOWN NJ)
NJ
04/25/2019 - 08/18/2021
PERSHING LLC (JERSEY CITY NJ)
NJ
09/30/2016 - 03/18/2019
E*TRADE SECURITIES LLC (Jersey City NJ)
NJ
09/16/2011 - 09/30/2016
E*TRADE CLEARING LLC (Jersey City NJ)
GA
11/21/2008 - 09/16/2011
E*TRADE SECURITIES LLC (ALPHARETTA GA)
NY
07/30/2007 - 09/05/2007
MERCER CAPITAL LTD. (NEW YORK NY)
NY
02/03/2006 - 07/14/2006
JOSEPH STEVENS & COMPANY, INC. (NEW YORK NY)
NY
08/02/2005 - 01/17/2006
JOSEPH STEVENS & COMPANY, INC. (BROOKLYN NY)
NY
05/18/2005 - 07/20/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
FL
11/15/2004 - 01/26/2005
INDEPENDENT SECURITIES INVESTORS CORPORATION (CHIPLEY FL)
NY
03/31/2004 - 09/27/2004
EHRENKRANTZ KING NUSSBAUM, INC. (MELVILLE NY)
BC
Issued 06/08/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Nick Rich is the right advisor for you? Invested Better is here to help.
