Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Louis Dundie is a securities professional with experience in the financial services industry. Nicholas is currently registered with Barings Securities LLC and holds Series 7, 7TO, SIE, and Series 63 licenses. Nicholas has been actively involved in the industry since 2018, previously working with Vanguard Marketing Corporation. Nicholas is registered to conduct business in all 50 states and the District of Columbia.
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.
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.
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NC
07/22/2024 - Present
Barings Securities LLC (CHARLOTTE NC)
NC
03/05/2018 - 12/26/2018
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BC
Issued 07/26/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2024
Series 7TO - General Securities Representative Examination
BC
Issued 07/13/2024
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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