Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas E Roberts is a registered representative and financial advisor. Nicholas E Roberts is associated with Herbert J. Sims & CO, Inc. Nicholas E Roberts is licensed to sell securities in Texas. Nicholas E Roberts passed the Securities Industry Essentials Examination, the Investment Banking Registered Representative Examination, the Municipal Advisor Representative Qualification Exam, and the Municipal Securities Representative Examination.
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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TX
03/15/2021 - Present
Herbert J. Sims & CO, Inc. (Dallas TX)
BC
Issued 07/06/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 12/08/2021
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 03/13/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/13/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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