Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Pepe is a financial advisor with UBS Financial Services Inc. Nicholas has been in the financial services industry since 1992. Nicholas is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 3, 7, 8, 24, 63, and 66 licenses. Nicholas is also registered as an investment advisor in 35 states. Nicholas has previously worked for UBS Securities LLC, SBC Warburg Dillon Read Inc., Morgan Stanley & Co., Incorporated, Smith Barney, Harris Upham & Co., Incorporated, and Drexel Burnham Lambert Incorporated. Nicholas specializes in providing financial planning, pension consulting, educational seminars, portfolio management for businesses and individuals, selection of other advisers, and publication of periodicals.
Essex Fells, NJ
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.
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.
See schedule d - miscellaneous
1
2
NJ
08/08/2011 - Present
UBS Financial Services Inc. (Essex Fells NJ)
NY
06/29/1998 - 02/25/2004
UBS SECURITIES LLC (NEW YORK NY)
CT
09/01/1993 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
12/24/1991 - 09/20/1993
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
05/22/1989 - 01/06/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
04/29/1987 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 8/25/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/27/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 6/24/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/3/2009
Series 7 - General Securities Representative Examination
BC
Issued 3/16/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
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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