Nicholas Orsi is a registered investment advisor at Guggenheim Investments, based in New York, NY, with 16 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 113 clients with $7.4B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
39 advisors
IM Fee
Planning only
Assets Under Management
$7.4B
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Location
330 Madison Avenue, 10th Floor, New York, NY, 10017
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Guggenheim Investments
August 2014 - Present · 11 yrs 9 mos
Guggenheim Funds Distributors, LLC
March 2014 - Present · 12 yrs 2 mos
Guggenheim Funds Distributors, LLCBroker
March 2014 - Present · 12 yrs 2 mos
Previous Registrations
Guggenheim Distributors, LLCBroker
November 2010 - March 2014 · 3 yrs 4 mos
Quasar Distributors, LLCBroker
June 2009 - November 2009 · 5 mos
Chase Investment Services CORP.Broker
December 2008 - June 2009 · 6 mos
State Registrations7 states
ILMAMENHNYRIVT
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.