Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas J. Peregoy is an investment advisor representative with Raymond James & Associates, Inc. Nicholas has been in the industry since 2009. Nicholas is registered with FINRA and has passed the SIE, Series 7, and Series 66 exams. Nicholas is also registered with the states of Alabama, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Kentucky, Maryland, Michigan, Minnesota, Missouri, North Carolina, Ohio, South Carolina, and Tennessee. Nicholas's previous employers include PNC Investments and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas specializes in providing financial planning, pension consulting, educational seminars, portfolio management for businesses, and portfolio management for individuals.
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.
Please see note in schedule d - miscellaneous
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
KY
07/09/2021 - Present
Raymond James & Associates, Inc. (LOUISVILLE KY)
KY
10/06/2010 - 07/16/2021
PNC INVESTMENTS (LOUISVILLE KY)
KY
01/01/2009 - 09/29/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOUISVILLE KY)
BOTH
Issued 02/07/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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