Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Duane? Claim Your ProfileDuane Nicolau is a financial advisor with UBS Financial Services Inc., located in Rockland, MA. Duane has been in the financial services industry since March 15, 1989. He is registered with the Securities and Exchange Commission (SEC) and holds Series 3, 7, 63, and 65 licenses. Duane has worked with various financial institutions, including Lehman Brothers Inc., Wagner Stott Clearing Corp. and CITIGROUP GLOBAL MARKETS INC. Duane focuses on providing financial services to individuals, corporations, and other businesses.
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.
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.
See schedule d - miscellaneous
1
2
MA
03/06/2008 - Present
UBS Financial Services Inc. (ROCKLAND MA)
MA
07/31/1993 - 03/20/2008
CITIGROUP GLOBAL MARKETS INC. (HINGHAM MA)
NY
07/25/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/16/1989 - 07/24/1990
WAGNER STOTT CLEARING CORP. (NEW YORK NY)
IA
Issued 05/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1990
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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