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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Nichols is a financial advisor currently working for Merrill Lynch, Pierce, Fenner & Smith Inc.. He has been working in the financial industry since 1969. Nichols has been registered with the state of Nevada since 1992 and with Texas since 2013. He holds several industry licenses, including Series 63, 65, 7, 8, 9, 10 and SIE. Nichols has been associated with Prudential Securities Incorporated and Dean Witter Reynolds Inc.. Herbert Nichols works with high net worth individuals, corporations, charitable organizations, insurance companies, and pension and profit-sharing plans. He is also able to offer portfolio management services.
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
NV
03/22/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RENO NV)
NY
11/04/1977 - 08/13/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/01/1970 - 12/02/1977
DEAN WITTER REYNOLDS INC.
IA
Issued 03/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/1978
PC - AMEX Put and Call Exam
BC
Issued 12/12/1968
Series 1 - Registered 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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