Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Brock Harris is a financial professional with over 3 years of experience in the financial services industry. Nicholas is currently registered with Lazard Asset Management Securities LLC. Previously, Nicholas was registered with CLSA Americas, LLC. Nicholas has passed the Series 63, Series 7, Series 87, and the SIE exams. Nicholas is registered with the state of New York.
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.
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.
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NY
08/21/2017 - Present
Lazard Asset Management Securities LLC (NEW YORK NY)
NY
04/22/2014 - 03/08/2017
CLSA AMERICAS, LLC (NEW YORK NY)
BC
Issued 07/03/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2014
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 04/21/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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