Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Clauson Grose is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 14 years of experience in the industry. Nicholas Clauson Grose has held previous roles at J.P. Morgan Securities LLC, Chase Investment Services Corp., Key Investment Services LLC, Bancwest Investment Services, Inc., and Woodbury Financial Services, Inc. Nicholas Clauson Grose is registered with the state of California and Texas. Nicholas Clauson Grose is licensed to sell securities and has passed the Series 6, Series 7, Series 66, and SIE exams. Nicholas Clauson Grose specializes in providing financial advice to individuals, corporations, and businesses.
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
CA
07/26/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA MONICA CA)
CA
10/01/2012 - 07/16/2022
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
07/16/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (GREENBRAE CA)
CO
07/23/2008 - 05/20/2009
KEY INVESTMENT SERVICES LLC (THORNTON CO)
CO
01/28/2008 - 05/01/2008
BANCWEST INVESTMENT SERVICES, INC. (BOULDER CO)
CO
01/31/2007 - 01/16/2008
WOODBURY FINANCIAL SERVICES, INC. (CENTENNIAL CO)
BOTH
Issued 12/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2008
Series 7 - General Securities Representative Examination
BC
Issued 01/30/2007
Series 6 - Investment Company Products/Variable Contracts 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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