Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alma? Claim Your ProfileAlma Nicholas-long has been in the financial services industry since 1986. Currently, Alma Nicholas-long is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Virginia and Texas. Alma Nicholas-long has also been previously registered with UBS FINANCIAL SERVICES INC. and MORGAN STANLEY DW INC.. Alma Nicholas-long is licensed to provide investment advice in the following states: Alabama, Arizona, Arkansas, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
VA
07/18/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROANOKE VA)
VA
09/29/2005 - 07/14/2006
UBS FINANCIAL SERVICES INC. (ROANOKE VA)
NY
11/21/1986 - 09/27/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 07/26/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/31/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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