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Nickolaus Roeschley
24 Years of Experience
Chandler, AZ
1 DisclosureBroker
Nickolaus Roeschley is a registered investment advisor at Raymond James & Associates, INC., based in Chandler, AZ, with 24 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
3133 West Frye Road, Suite 410, Chandler, AZ, 85226
Get directionsHistory
Regulatory History (1)
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Customer Dispute
November 2008Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
July 2023 - Present · 3 yrs
Raymond James & Associates, INC.
July 2023 - Present · 3 yrs
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
October 2012 - July 2023 · 10 yrs 9 mos
Wells Fargo Clearing Services, LLC
October 2012 - July 2023 · 10 yrs 9 mos
Morgan StanleyBroker
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley
June 2009 - October 2012 · 3 yrs 4 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
September 2006 - April 2007 · 7 mos
Morgan Stanley Dw INC.Broker
September 2001 - April 2007 · 5 yrs 7 mos
State Registrations49 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.