Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Trudy? Claim Your ProfileTrudy Lynn Nishita is a financial advisor who has been working in the industry since 2000. Trudy Lynn Nishita is currently registered with Wells Fargo Clearing Services, LLC and has a branch office in Roseville, CA. Trudy Lynn Nishita holds a Series 6, 7, 9, 10, 63 and 65 license. Previously, Trudy Lynn Nishita was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC and Wells Fargo Securities Inc. Trudy Lynn Nishita has experience working with individuals, high-net-worth individuals, corporations, businesses, charitable organizations, pension and profit-sharing plans, and insurance companies.
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.
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.
Investment consulting services to institutional clients
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
CA
09/07/2022 - Present
Wells Fargo Clearing Services, LLC (ROSEVILLE CA)
CA
10/16/2017 - 08/31/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SACRAMENTO CA)
CA
01/03/2011 - 09/20/2017
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ROSEVILLE CA)
CA
03/07/2001 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
04/24/2000 - 12/31/2000
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 10/11/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/27/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/20/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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