Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Shepard is a financial advisor with Raymond James & Associates, Inc., and has been in the industry since December 14, 2004. Nicholas is registered to provide investment advice in 28 states and is approved to provide broker-dealer services in 26 states. Nicholas holds Series 7, 55, 57TO, and SIE licenses. Nicholas also has a Series 66 license for the Uniform Combined State Law Examination. Prior to joining Raymond James & Associates, Inc., Nicholas was employed by BNP PARIBAS SECURITIES CORP. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Nicholas provides financial planning, portfolio management for individuals and businesses, and pension consulting.
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
NY
06/14/2021 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
11/26/2013 - 03/03/2014
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
04/08/2004 - 04/02/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/23/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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