Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas McFadden is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Charlotte, NC. Nicholas has been in the industry since October 2016. Nicholas is a registered representative in 53 states and is also a registered investment advisor in New Jersey and Texas. Nicholas has Series 6, 7, 9, 10, 63, and 66 licenses. Nicholas's previous employment was with J.P. MORGAN SECURITIES LLC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
11/04/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Cranbury NJ)
NJ
11/14/2016 - 10/04/2018
J.P. MORGAN SECURITIES LLC (LIVINGSTON, NJ)
BOTH
Issued 10/10/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/30/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/24/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/16/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/03/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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