Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Nichols is a financial advisor with Ameriprise Financial Services, LLC, registered in North Carolina and Texas. David has been in the financial services industry since 1976. David has a wide range of experience, including working with corporations, individuals, high-net-worth individuals, trusts and estates, insurance companies, and charitable organizations. David is also a registered representative and holds Series 3, 7, 63, and 65 licenses. David is committed to providing clients with personalized financial advice and helping them achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
NC
05/09/2012 - Present
Ameriprise Financial Services, LLC (RALEIGH NC)
NC
06/01/2009 - 10/26/2011
MORGAN STANLEY SMITH BARNEY (DURHAM NC)
NC
11/09/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DURHAM NC)
GA
02/05/1990 - 11/20/2000
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NY
04/11/1988 - 02/09/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
09/08/1980 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
07/26/1976 - 10/08/1980
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 09/18/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1982
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/1980
PC - AMEX Put and Call Exam
BC
Issued 07/17/1976
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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