Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicola? Claim Your ProfileNicola Teresa Nugent is a financial professional with over 20 years of experience in the industry. Nicola is currently registered with Cadaret, Grant & Co., Inc. in Jericho, NY. Nicola has a strong background in the financial services industry, having previously worked at a number of firms including Rockwell Securities LLC, Obsidian Financial Group, LLC, Westrock Advisors, Inc., North Ridge Securities Corp., GunnAllen Financial, Inc, Park Avenue Securities LLC, WS Griffith Securities, Inc., and David Lerner Associates, Inc. Nicola holds the Series 63, Series 7 and SIE licenses.
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.
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.
A percentage of the total value of assets under management is charged.
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NY
04/27/2009 - Present
Cadaret, Grant & CO., Inc. (JERICHO NY)
NY
09/10/2008 - 03/03/2009
ROCKWELL SECURITIES LLC (NEW YORK NY)
NY
04/09/2008 - 06/16/2008
OBSIDIAN FINANCIAL GROUP, LLC (WOODBURY NY)
NY
10/04/2006 - 04/15/2008
WESTROCK ADVISORS, INC. (WOODBURY NY)
NY
06/21/2006 - 08/23/2006
WESTROCK ADVISORS, INC. (NEW YORK NY)
NY
10/08/2005 - 04/17/2006
NORTH RIDGE SECURITIES CORP. (MELVILLE NY)
FL
04/25/2005 - 08/16/2005
GUNNALLEN FINANCIAL, INC (TAMPA FL)
NY
06/30/2004 - 04/14/2005
PARK AVENUE SECURITIES LLC (NEW YORK NY)
CT
03/22/2002 - 06/01/2004
WS GRIFFITH SECURITIES, INC. (HARTFORD CT)
NY
11/22/2000 - 04/11/2001
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
BC
Issued 01/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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