Nicholas Poulos
Nicholas Poulos is a ChFC-designated registered investment advisor at Osaic Institutions, INC., based in Clearfield, PA, with 35 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
11 N Second Street, Clearfield, PA, 16830
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Regulatory History (1)
Customer Dispute
October 1998Other Business Activities
Nicholas is a board member of the Salvation Army and assists in fundraising activities. This requires minimal time each month.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Previous Registrations
Cetera Investment Services LLCBroker
Cetera Investment Advisers LLC
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Nathan & Lewis Securities, INC.Broker
Bisys Brokerage Services, INC.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.