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Nicholas John Maratta

Occidental Asset Management, LLC

Winter Springs, FL

CRD 3241817

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Employer firm

Occidental Asset Management, LLC CRD 168650

$1.07B regulatory AUM

Reported services (Item 5G)

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

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

Current Employers
Occidental Asset Management, Llc

301 California Drive #9, Burlingame, CA 94010 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-04-06
  • CA RA
    APPROVED
    Since 2016-04-06

Branch Locations

Winter Springs, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade, Inc. Winter Park FL 05/1999 Present
Occidental Asset Management, Llc Burlingame CA 04/2016 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-08-29
  • S63 Uniform Securities Agent State Law Examination
    2001-08-29
Designations
  • Certified Financial Planner
Other Names
  • Nicholas J Maratta

View on SEC IAPD

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