Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Cronin is a financial advisor with UBS Financial Services Inc. Nicholas has been in the industry since 1985 and holds licenses in 35 states and jurisdictions, including California, Texas and Minnesota. Nicholas specializes in providing financial planning and investment management services to individuals, businesses and institutional clients. Nicholas also holds licenses for commodities and futures, and previously worked with Piper Jaffray & Co., Salomon Smith Barney Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc.
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
MN
08/12/2006 - Present
UBS Financial Services Inc. (BLOOMINGTON MN)
MN
06/17/2002 - 08/12/2006
PIPER JAFFRAY & CO. (EDINA MN)
NY
07/31/1993 - 06/20/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/07/1985 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 04/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1985
Series 3 - National Commodity Futures Examination
BC
Issued 02/16/1985
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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