Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dufresne? Claim Your ProfileDufresne Nicolas has been in the financial services industry since 1994. Currently, Dufresne Nicolas is registered as a Registered Representative (RA) with HSBC Securities (USA) Inc. in NEW YORK. Dufresne Nicolas previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS Financial Services Inc. and Paine Webber Incorporated.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
05/22/2024 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
CT
08/10/2018 - 04/30/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HARTFORD CT)
NY
06/01/2009 - 05/21/2018
MORGAN STANLEY (POUGHKEEPSIE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PEARL RIVER NY)
NY
07/08/2005 - 04/02/2007
MORGAN STANLEY DW INC. (PEARL RIVER NY)
NJ
07/28/1997 - 07/29/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/16/1996 - 07/17/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
11/05/1993 - 04/16/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 04/23/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/17/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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