Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Nichols is a financial advisor at UBS Financial Services Inc. with over 30 years of experience in the industry. Mark is registered with FINRA and holds a Series 63, Series 7, Series 65, and SIE licenses. He specializes in providing financial planning, portfolio management, and investment advisory services to a wide range of clients, including individuals, families, corporations, and charitable organizations. Mark is committed to helping clients achieve their financial goals and believes in providing personalized service and a comprehensive approach to financial planning.
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
MN
08/12/2006 - Present
UBS Financial Services Inc. (MINNEAPOLIS MN)
MN
10/20/1983 - 08/12/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
IA
Issued 11/18/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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