Nicholas John Maratta
Investment Adviser Representative at Occidental Asset Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicholas John Maratta is an investment adviser representative with Occidental Asset Management, LLC in Winter Springs, FL, where they have been registered since 2016, the year they entered the securities industry. They have passed 4 industry qualification exams, including the Series 7 (general securities representative), Series 24 (general securities principal), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Scottrade, Inc.May 1999 – no end date reportedWinter Park, FL
- Occidental Asset Management, LLCApr 2016 – no end date reportedBurlingame, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Occidental Asset Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $500,000 (waivable)
- Up to $200,0001.50%
- $200,001 to $700,0001.25%
- $700,001 to $1,200,0001.15%
- $1,200,001 to $2,200,0001.10%
+2 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Investment management, financial planning, retirement planning, tax planning, wealth accumulation, risk management, estate planning, concentrated equity solutions, and financial psychology.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 12
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Burlingame, CA
- Founded:
- 2001
- SEC file number:
- 801-78516
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 23, 2026
View full firm profileOther advisors at Occidental Asset Management, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas John Maratta has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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