Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Davis is a financial advisor who has been in the industry since 2000. Nicholas has worked for several major financial firms, including J.P. Morgan Securities LLC, Barclays Capital Inc., and Morgan Stanley & Co., Incorporated. Nicholas is currently registered with Northwestern Mutual Investment Services, LLC as a Registered Representative and Investment Advisor Representative. Nicholas holds Series 7, 9, 10, 63, 65, SIE, and 99TO licenses.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
NY
10/06/2022 - Present
Northwestern Mutual Investment Services, LLC (MELVILLE NY)
NY
03/03/2015 - 04/07/2021
J.P. MORGAN SECURITIES LLC (New York NY)
NY
08/18/2011 - 02/26/2015
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
NY
04/07/2014 - 04/21/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
04/09/2008 - 02/09/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
07/25/2005 - 03/11/2008
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
11/13/2000 - 07/14/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
09/01/1999 - 10/27/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
IA
Issued 09/23/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/19/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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