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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Alexander is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since July 2013. Nicholas is registered with FINRA as a General Securities Representative (Series 7) and holds the Securities Industry Essentials Examination (SIE), General Securities Sales Supervisor - General Module Examination (Series 10) and General Securities Sales Supervisor - Options Module Examination (Series 9). Nicholas is also a registered Investment Advisor Representative in Delaware and Texas. Prior to joining Merrill Lynch, Nicholas worked at PNC INVESTMENTS.
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
DE
01/05/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DOVER DE)
DE
06/19/2013 - 02/23/2015
PNC INVESTMENTS (SMYRNA DE)
BOTH
Issued 09/10/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/12/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/04/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2013
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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