Individual Firm
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NICHOLAS JOSEPH ENZWEILER
NICHOLAS ENZWEILER, NICK ENZWEILER
CRD#: 5472718
IA
B
MARINER INDEPENDENTCRD#: 283824 1243 Alpine Road
Suite 219
Walnut Creek, CA 94596
Suite 219
Walnut Creek, CA 94596
LPL FINANCIAL LLCCRD#: 6413 1904 OLYMPIC BLVD STE 200
WALNUT CREEK, CA 94596
WALNUT CREEK, CA 94596
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
Arizona 4/14/2022
B
Montana 11/19/2024
B
California 8/23/2019
B
Nevada 4/14/2022
IA
California 4/15/2020
B
New York 4/14/2022
B
Colorado 4/14/2022
B
North Carolina 4/19/2022
B
Florida 4/14/2022
B
Oregon 4/14/2022
B
Idaho 4/14/2022
B
South Carolina 1/3/2025
B
Illinois 4/14/2022
B
Tennessee 11/7/2023
B
Louisiana 6/27/2022
B
Texas 4/14/2022
B
Mississippi 4/14/2022
B
Virginia 10/31/2023
B
Missouri 4/14/2022
B
Washington 4/14/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 4/15/2020
B
Registered with this firm since 8/23/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/23/2019 - 09/10/2020 | WALNUT CREEK, CA | |
IA | 07/23/2015 - 08/05/2019 | WALNUT CREEK, CA | |
B | 07/01/2015 - 08/05/2019 | WALNUT CREEK, CA | |
B | 02/25/2008 - 11/10/2009 | WALNUT CREEK, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.