Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Field is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas has been in the industry for over 10 years, starting with Quest Capital Strategies, Inc. Nicholas holds a Series 65 license, a Series 66 license, and a Series 7 license. Nicholas has experience working with a variety of clients, including individuals, corporations, charitable organizations, and insurance companies. Nicholas provides financial advice and investment management services.
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
MA
04/27/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
NY
10/04/2016 - 10/02/2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NEW YORK NY)
DC
03/26/2014 - 09/20/2016
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
CA
10/22/2013 - 11/07/2013
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
NY
06/27/2007 - 01/04/2010
TRILLIUM TRADING LLC (NEW YORK NY)
IA
Issued 04/22/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/29/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2017
Series 3 - National Commodity Futures Examination
BC
Issued 10/22/2013
Series 7 - General Securities Representative Examination
BC
Issued 09/10/2007
Series 55 - Limited Representative-Equity Trader Exam
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
Not sure Nicholas Field is the right advisor for you? Invested Better is here to help.
