Nickolas Brait, financial advisor Park Ridge IL
86 score

Nickolas Brait

CRD Number: 1053565
Current Firm: Raymond James Financial Services Advisors, Inc.

Nickolas Brait (CRD# 1053565) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Park Ridge, IL and has over 34 years of experience in the finance industry. Nickolas Brait has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
South Prospect Partners, LLC Park Ridge, IL Oct 2015 - Current 1
Sage Private Wealth Group Park Ridge, IL Sep 2013 - Current 3
South Prospect Partners LLC Park Ridge, IL May 2010 - Current 6
812 Busse Condo Association Park Ridge, IL May 2010 - Current 6
Raymond James Financial Services Advisors, Inc. Park Ridge, IL Jan 2009 - Current 7
Raymond James Financial Services, Inc. Park Ridge, IL Feb 1999 - Current 17
Lasting Legacy, Ltd Park Ridge, IL Feb 1999 - Dec 2014 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1982
S65 NASAA Investment Advisors Law Examination May 1999
Disclosure Information

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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Nickolas J. Brait
Phone Number: 727-567-5877
Registered State(s):
  • IL
  • LA
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
86

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