Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Sapienza is an investment advisor representative with Fidelity Personal And Workplace Advisors. Nicole has been in the financial services industry since February 11, 2006. Nicole is registered with FINRA and has passed the Series 7, Series 63 and Series 66 exams. Nicole's previous firms include Merrill Lynch, Pierce, Fenner & Smith Incorporated, David Lerner Associates, Inc., Institutional Securities Corporation, Ridgeway & Conger, Inc., Oppenheimer & Co. Inc., H.C. Wainwright & Co., Inc., and C.E. Unterberg, Tobin, LLC. Nicole currently works out of the Plainview, New York office of Fidelity Personal And Workplace Advisors.
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.
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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2
NY
04/21/2023 - Present
Fidelity Personal AND Workplace Advisors (PLAINVIEW NY)
NY
09/10/2020 - 03/25/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MELVILLE NY)
NY
01/16/2019 - 08/18/2020
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
TX
03/25/2015 - 01/17/2019
INSTITUTIONAL SECURITIES CORPORATION (DALLAS TX)
NY
10/11/2011 - 04/14/2015
RIDGEWAY & CONGER, INC. (NEW WOODSTOCK NY)
NY
04/29/2008 - 10/04/2011
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
10/02/2006 - 04/14/2008
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
NY
06/02/2006 - 06/15/2006
C.E. UNTERBERG, TOWBIN, LLC. (NEW YORK NY)
FL
01/19/2005 - 01/04/2006
GUNNALLEN FINANCIAL, INC (TAMPA FL)
BOTH
Issued 10/02/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/04/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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