Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Dearden Smithie is a securities professional with over 13 years of experience in the financial services industry. Nicholas is currently registered with Foreside Fund Services, LLC and is licensed to conduct business in all 50 states. Prior to joining Foreside Fund Services, LLC, Nicholas was employed at HSBC Securities (USA) INC., ALPS DISTRIBUTORS, INC., and UBS SECURITIES LLC.
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
04/02/2024 - Present
Foreside Fund Services, LLC (Garden City NY)
NY
02/12/2016 - 11/15/2023
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
10/01/2013 - 01/12/2016
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
NY
07/14/2010 - 09/25/2013
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 06/01/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2010
Series 7 - General Securities Representative Examination
BC
Issued 05/21/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
Active
Inactive
F
FINRA
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