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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 over 30 years of experience in the financial services industry. Nicholas has been registered with UBS Financial Services Inc. since 2009 and has held positions with several other prominent firms throughout his career. He has a broad range of experience and holds several licenses and certifications including Series 3, 7, 8, 24, 63, and 66. Nicholas is currently registered to provide investment advisory services in Florida, Nevada, New Jersey, New York, and Texas. Nicholas and UBS Financial Services Inc. provide advisory services to a variety of clients including high-net-worth individuals, corporations, charitable organizations, and pension plans.
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. (PARAMUS 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 08/25/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/1987
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 06/24/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/16/1987
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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