Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Steven Nies has been in the industry since 2000 and currently works with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael Steven Nies holds licenses for Series 31, Series 7, Series 9, Series 10, Series 63, Series 66 and SIE exams. Michael Steven Nies is registered in 53 states and 2 provinces. He was previously employed with Credit Suisse Securities (USA) LLC. Michael Steven Nies is a broker and investment advisor. He can provide a variety of services including portfolio management, investment advisory, and financial planning. Michael Steven Nies is affiliated with several other organizations such as N Squared Capital LLC and Live Band. He can work with individuals, high-net-worth individuals, charitable organizations, corporations, insurance companies, pension plans, investment companies, and other financial institutions.
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
GA
01/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ATLANTA GA)
CA
09/19/2007 - 12/28/2015
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
FL
03/28/2006 - 09/17/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TAMPA FL)
NY
11/11/1998 - 06/02/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/22/2007
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/01/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/08/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/13/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 11/10/1998
Series 7 - General Securities 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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