Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Hardi is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in NEWPORT BEACH, CA. Nicholas has been working in the securities industry since 2015 and has experience working with a variety of clients, including individuals, corporations, and institutions. Nicholas holds the Series 7TO, 63, 65, 9, and 10 licenses. Nicholas is also registered to provide investment advice in 55 states and territories. In addition to his work at Merrill Lynch, Nicholas is also the owner of Formosa Capital LLC, a for-profit organization.
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
CA
03/18/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
06/13/2017 - 11/21/2019
HSBC SECURITIES (USA) INC. (IRVINE CA)
CA
07/24/2015 - 06/06/2017
J.P. MORGAN SECURITIES LLC (IRVINE CA)
IA
Issued 01/17/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/25/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/2015
Series 6 - Investment Company Products/Variable Contracts 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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