Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Halaby is an active Registered Representative and Investment Adviser Representative. Nicholas has been in the industry since 1996 and is currently registered with J.p. Morgan Securities LLC, where they have worked since August 2018. Previously, Nicholas worked at Goldman Sachs & Co. LLC from February 2007 to July 2018 and Credit Suisse Securities (USA) LLC from August 1995 to August 2006. Nicholas has a broad range of experience and holds several licenses and certifications, including the Series 3, 7, 10, 63, 65, and 9 licenses. Nicholas provides financial planning, pension consulting, selection of other advisors, and portfolio management for individuals and businesses. Nicholas is registered in 53 states, Puerto Rico, and the Virgin Islands.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
MA
03/28/2024 - Present
J.p. Morgan Securities LLC (Boston MA)
NY
02/21/2007 - 07/27/2018
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
MA
08/29/1995 - 08/24/2006
CREDIT SUISSE SECURITIES (USA) LLC (BOSTON MA)
IA
Issued 03/28/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/30/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/17/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1995
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Nicholas Halaby is the right advisor for you? Invested Better is here to help.
