Nicholas LancasterCRD Number: 5915773
Current Firm: Transamerica Financial Advisors, Inc.
Nicholas Lancaster (CRD# 5915773) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Norco, CA and has over 6 years of experience in the finance industry.
Rs Crum Inc.
Eclectic Associates, Inc.
Rs Crum Inc.
|Transamerica Financial Advisors, Inc.||Corona, CA||Jan 2012 - Current||5|
|World Financial Group, Inc.||Corona, CA||May 2008 - Current||9|
|Investment Advisors International, Inc.||Corona, CA||Jul 2011 - Jan 2012||< 1|
|World Group Securities, Inc.||Corona, CA||Apr 2011 - Jan 2012||< 1|
|N.l. Financial Services, Inc.||Corona, CA||Jul 2009 - Sep 2011||2|
|J & N Financial Inc.||Temecula, CA||Mar 2005 - May 2008||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 2011|
|S65||NASAA Investment Advisors Law Examination||Jun 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management4,493MILLIONS
Total Number of Accounts33,842ACCOUNTS
Average Account Value$132,767
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV