Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas A. Berno is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Pittsford, New York. Nicholas has over 18 years of experience in the financial industry and is active in both the broker-dealer and investment advisor channels. Nicholas has Series 7, 9, 10, 66 and SIE licenses, which allows them to provide a wide range of financial services to clients, including portfolio management, investment advisory, pension consulting, and educational seminars. Nicholas has previously worked with other firms including J.P. Morgan Securities LLC, Cambridge Investment Research, Inc., Gunnallen Financial, Inc, and Merrill Lynch, Pierce, Fenner & Smith 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.
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
NY
06/17/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PITTSFORD NY)
NY
07/20/2010 - 07/06/2015
J.P. MORGAN SECURITIES LLC (ROCHESTER NY)
NY
02/04/2008 - 07/15/2009
CAMBRIDGE INVESTMENT RESEARCH, INC. (ROCHESTER NY)
NY
09/01/2006 - 02/08/2008
GUNNALLEN FINANCIAL, INC (ROCHESTER NY)
NY
05/28/2004 - 09/07/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROCHESTER NY)
BOTH
Issued 10/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/01/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/01/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2004
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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