Nicholas Richard Galli Sterling

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → 03/2018
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 03/2018 → 10/2018
  J.P. Morgan Securities Llc
  Novato, CA
• 03/2018 → 10/2018
  Jp Morgan Chase Bank, N.A.
  Novato, CA
• 10/2018 → Present
  Oppenheimer & Co. Inc
  San Francisco, CA

Previous Registrations

• 2018-04-20 → 2018-10-12
  J.P. Morgan Securities Llc
  Novato, CA
• 2017-01-25 → 2018-03-28
  Charles Schwab & Co., Inc.
  Lone Tree, CO

Other Businesses

1.TEXAS EMERGING LEADERS, FOUNDING MEMBER - NOT INVESTMENT RELATED - A LEADERSHIP GROUP-P.O.BOX 310552, NEW BRAUNFELS, TX 78131 2.FLY FISHING GUIDE FOR "NAPA VALLEY FLY GUIDES" APPROX 8 HRS PER MONTH

Exams

• S66 Uniform Combined State Law Examination
  2017-01-25

Designations

• Certified Financial Planner

Other Names

• Nicholas R Sterling
• Nicholas Sterling
• Nicholas Richard Sterling
• Nicholas Rg Sterling
• Nicholas Richard Galli Sterling