Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Fauber is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas has been in the financial services industry since February 2006. He is registered in 42 states and has a Series 7, Series 66 and SIE. Nicholas provides financial advice to individuals, businesses, and institutions. He specializes in portfolio management, financial planning, and retirement planning. Nicholas has a strong track record of success in helping his clients achieve their financial goals.
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
OH
05/18/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CINCINNATI OH)
OH
11/19/2009 - 04/11/2011
LPL FINANCIAL LLC (WEST CHESTER OH)
OH
05/16/2006 - 10/19/2009
PRIMEVEST FINANCIAL SERVICES, INC. (GEORGETOWN OH)
OH
01/23/2006 - 05/15/2006
FIFTH THIRD SECURITIES, INC. (HILLSBORO OH)
BOTH
Issued 12/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/2006
Series 7 - General Securities 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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