Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Auld Anthony is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas has been in the financial industry since 2021. Nicholas is licensed to offer securities and advisory services in all 50 states and Puerto Rico. Nicholas has passed the Series 66, 7TO, SIE, 10 and 9 exams. Nicholas has previously been employed by Fidelity Brokerage Services LLC, and Vanguard Marketing Corporation. Nicholas specializes in investment management and financial planning. Nicholas's firm manages assets ranging from $10 billion to $50 billion.
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
TX
08/26/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
TX
10/18/2022 - 07/30/2024
FIDELITY BROKERAGE SERVICES LLC (SAN ANTONIO TX)
AZ
09/10/2021 - 06/07/2022
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
BOTH
Issued 10/01/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/11/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/19/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/09/2021
Series 7TO - General Securities Representative Examination
BC
Issued 07/16/2021
SIE - Securities Industry Essentials 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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