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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 Brine Finn is a financial advisor with over 30 years of experience in the industry. Nicholas has a broad range of experience, having worked at firms like Credit Suisse Securities (USA) LLC, Lehman Brothers Inc., Fiduciary Financial Services Corp., and Sanford C. Bernstein & Co., Inc. Nicholas is currently registered with UBS Financial Services Inc. Nicholas has a wide range of licenses and registrations, including Series 3, 7, 63, 65, and 66. Nicholas specializes in providing investment advice to high-net-worth individuals, corporations, and institutions.
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.
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.
See schedule d - miscellaneous
1
2
NY
11/24/2015 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/15/2008 - 12/18/2015
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
04/06/1998 - 09/19/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
01/01/1997 - 03/03/1998
FIDUCIARY FINANCIAL SERVICES CORP. (SAN MATEO CA)
NY
01/04/1993 - 08/13/1996
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
BOTH
Issued 11/24/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1998
Series 3 - National Commodity Futures Examination
BC
Issued 12/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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