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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 Kozak is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the industry since 2007 and has a wide range of experience in securities and investments. Nicholas has been registered in Michigan and Texas, and his credentials include Series 7, Series 31, and Series 66 licenses as well as the SIE exam. Nicholas has also held previous roles at MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC.
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
MI
12/08/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BLOOMFIELD HILLS MI)
MI
06/01/2009 - 10/18/2010
MORGAN STANLEY SMITH BARNEY (FARMINGTON MI)
MI
04/04/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FARMINGTON MI)
BOTH
Issued 04/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/2007
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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