Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Randazzo is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Nicholas has been registered with UBS Financial Services Inc. since 2014. Nicholas holds Series 3, 7, 9, 10, 24, 31, 63 and 66 licenses and is registered to provide investment advice in Alabama, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Iowa, Kentucky, Louisiana, Massachusetts, Minnesota, Mississippi, Missouri, Nevada, New Mexico, New York, North Carolina, Oklahoma, Tennessee, Texas, Utah, Virginia, Washington and Wisconsin. Nicholas has previously worked at MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., BANC ONE SECURITIES CORPORATION and MARQUIS INVESTMENTS, L.L.C..
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
LA
05/20/2014 - Present
UBS Financial Services Inc. (NEW ORLEANS LA)
LA
06/01/2009 - 05/28/2014
MORGAN STANLEY (MANDEVILLE LA)
LA
08/18/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW ORLEANS LA)
IL
08/03/1998 - 08/16/2004
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NA
11/29/1994 - 10/02/1998
MARQUIS INVESTMENTS, L.L.C.
NA
01/04/1994 - 10/02/1998
MARQUIS INVESTMENTS, L.L.C.
NA
03/26/1993 - 05/07/1993
F.N. WOLF & CO., INC.
BOTH
Issued 04/07/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/06/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/13/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2018
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 03/23/1993
Series 7 - General Securities Representative 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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