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Stephen James Nicholas

5 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
771 clients
Average Client Portfolio
$1.4M average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
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Location

135 Crossways Park Dr,, Ste 404, Woodbury, NY, 11797

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History

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.

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Other Business Activities

Stephen organizes events for the First Tee program, focusing on college preparation for youth. This activity is not investment-related.

Employment History
Current Registrations
Spire Securities, LLCBroker
August 2022 - Present · 3 yrs 6 mos
Platform Technology Partners
August 2022 - Present · 3 yrs 6 mos
Previous Registrations
J.P. Morgan Securities LLC
April 2021 - September 2022 · 1 yr 5 mos
J.P. Morgan Securities LLCBroker
October 2020 - September 2022 · 1 yr 11 mos
State Registrations1 state
NY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.