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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Hopley is a financial advisor with over 28 years of experience in the industry. Nicholas currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. and is registered as a Broker/Dealer in 19 states and an Investment Advisor in 2 states. Nicholas has passed exams for Series 63, Series 65, Series 7, Series 9, Series 10 and SIE. Nicholas has worked previously at BANC of AMERICA INVESTMENT SERVICES, INC., UBS FINANCIAL SERVICES INC. and SALOMON SMITH BARNEY INC.
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
MA
10/23/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SPRINGFIELD MA)
MA
01/09/2009 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (AMHERST MA)
MA
11/08/2002 - 01/27/2009
UBS FINANCIAL SERVICES INC. (SPRINGFIELD MA)
NY
09/07/1994 - 11/21/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 03/27/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/17/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/1994
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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