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Nicholas J. Termini

FIS Brokerage & Securities Services LLC

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About Nicholas J. Termini

Nicholas Termini is a securities professional with over 20 years of experience in the financial services industry. Nicholas is currently registered with FIS Brokerage & Securities Services LLC and holds a Series 7, Series 55, Series 57TO, Series 99TO and a Series 63 license. Nicholas previously held positions at J.P. Morgan Securities LLC, TradeStation Securities, Inc., Canaccord Genuity Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Equilend LLC. Nicholas specializes in investment advisory services.

Firm Information

Nicholas Termini is currently registered with FIS Brokerage & Securities Services LLC. FIS Brokerage & Securities Services LLC is a Limited Liability Company formed in February 2000. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico, the Virgin Islands and the District of Columbia. FIS Brokerage & Securities Services LLC has been the subject of 23 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Nicholas Termini’s Registration & Firm History

IL

05/06/2022 - Present

FIS Brokerage & Securities Services LLC (BOLINGBROOK IL)

NY

07/12/2016 - 09/10/2020

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

06/10/2015 - 02/18/2016

TRADESTATION SECURITIES, INC. (NEW YORK NY)

NY

03/03/2014 - 10/24/2014

CANACCORD GENUITY INC. (NEW YORK NY)

NY

03/11/2008 - 11/20/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/25/2004 - 03/06/2008

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

12/16/2003 - 09/14/2004

EQUILEND LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/29/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/28/2011

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/15/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Nicholas J. Termini. Review regulatory record here.
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