Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Rossi is a financial advisor with UBS Securities LLC based in Los Angeles, CA. Nicholas holds the Series 63, SIE, and Series 79 licenses. Nicholas has over 7 years of experience in the financial services industry, having previously worked at Credit Suisse Securities (USA) LLC. Nicholas is registered in 52 states and the District of Columbia.
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.
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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CA
09/29/2023 - Present
UBS Securities LLC (Los Angeles CA)
CA
08/08/2016 - 09/29/2023
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
BC
Issued 02/27/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2016
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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