Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Dukas is a financial professional with over 40 years of experience in the financial services industry. Nicholas is currently registered with Stifel, Nicolaus & Company, Inc. and has previously worked with Wells Fargo Clearing Services, LLC, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Nicholas holds a Series 7, Series 3, Series 5, Series 8, Series 9, Series 10, Series 63, and Series 65 license. Nicholas provides financial planning, portfolio management, and other investment-related 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.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
08/17/2017 - Present
Stifel, Nicolaus & Company, Inc. (CLEARWATER FL)
FL
08/19/2011 - 08/18/2017
WELLS FARGO CLEARING SERVICES, LLC (CLEARWATER FL)
FL
06/01/2009 - 09/06/2011
MORGAN STANLEY SMITH BARNEY (PALM HARBOR FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM HARBOR FL)
FL
09/30/1992 - 04/02/2007
MORGAN STANLEY DW INC. (PALM HARBOR FL)
MO
09/04/1990 - 09/30/1992
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
07/15/1988 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
NA
11/18/1982 - 06/21/1988
PAINEWEBBER INCORPORATED
NA
08/18/1981 - 11/24/1982
SHEARSON/AMERICAN EXPRESS INC.
IA
Issued 10/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/26/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1982
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/15/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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