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 Smith is a licensed financial professional, with over 10 years of experience in the financial services industry. Nicholas Smith is a Principal at Goldman Sachs & Co. LLC, where Nicholas Smith has worked since February 2012. Nicholas Smith has been actively registered with FINRA since February 2012. Nicholas Smith is registered as a securities representative and has passed the Securities Industry Essentials Examination (SIE), the General Securities Principal Examination (Series 24) and the Investment Banking Registered Representative Examination (Series 79) exams. Nicholas Smith specializes in portfolio management for individuals and businesses, as well as portfolio management for pooled investment vehicles. Nicholas Smith also provides financial planning and educational seminars to clients.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
CA
02/15/2012 - Present
Goldman Sachs & Co. LLC (LOS ANGELES CA)
BC
Issued 03/16/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2012
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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