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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria Luz Nicholas is a financial advisor registered with UBS Financial Services Inc. Maria has been in the financial industry for over 30 years. Maria has a strong background in financial planning, portfolio management, and investment advice. Maria has earned both Series 7 and Series 63 licenses and has taken the Series 65 and Series 31 exams. Maria has been registered in a wide range of states, currently holding licenses to practice in District of Columbia, Maryland, Pennsylvania and Texas. Prior to joining UBS Financial Services Inc., Maria was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley & Co. 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.
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
DC
07/24/2017 - Present
UBS Financial Services Inc. (WASHINGTON DC)
MD
05/14/2008 - 07/14/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BETHESDA MD)
MD
04/02/2007 - 05/15/2008
MORGAN STANLEY & CO. INCORPORATED (POTOMAC MD)
MD
08/03/1990 - 04/02/2007
MORGAN STANLEY DW INC. (POTOMAC MD)
NY
04/18/1989 - 06/19/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 06/05/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/23/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 04/15/1989
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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