Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nick? Claim Your ProfileNick Zappia is a financial advisor currently registered with City National Securities, Inc. Nick has over 20 years of experience in the financial services industry. Nick has worked at several prominent firms before joining City National Securities, Inc. Nick is registered in California and holds the following licenses: Series 63, Series 66, Series 24, SIE and Series 7. Nick specializes in portfolio management for businesses and individuals. Nick can provide financial planning and investment advice to help clients reach their financial goals.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Mutual fund fees, broker fees & transaction fees
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2
CA
03/01/2019 - Present
City National Securities, Inc. (Los Angeles CA)
CA
03/01/2017 - 12/21/2018
MBSC SECURITIES CORPORATION (LOS ANGELES CA)
NY
11/20/1996 - 08/15/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/01/2017
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 03/07/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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