Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas David Mertes is a financial professional with over 17 years of experience in the financial services industry. Nicholas is currently registered with Principal Securities, Inc. and has been with the firm since November 2020. Prior to that, Nicholas was employed with Princor Financial Services Corporation. Nicholas holds FINRA Series 7 and 66 licenses as well as the Series 6TO exam. Nicholas is registered in 10 states: Alabama, Illinois, Iowa, Maryland, Minnesota, Missouri, North Carolina, Pennsylvania, South Carolina, and Texas. Nicholas's current practice is focused on providing financial planning and portfolio management for individuals and businesses. Nicholas is also experienced in educational seminars and pension consulting.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
11/24/2020 - Present
Principal Securities, Inc. (DES MOINES IA)
IA
01/01/2012 - 04/01/2014
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
IA
03/24/2003 - 12/31/2009
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
BC
Issued 01/05/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/22/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Nicholas Mertes is the right advisor for you? Invested Better is here to help.
