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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 Nicholson is a financial advisor with over 29 years of experience in the industry. Nicholas currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since February 9, 1994 and has held previous roles with BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Nicholas has passed the Series 7, Series 63, Series 65 and SIE exams and is a Certified Financial Planner. Nicholas has provided financial advice to a wide range of clients including individuals, corporations, pension and profit sharing plans, insurance companies, charitable organizations, and state or municipal government entities. Nicholas specializes in providing portfolio management, financial planning, and investment advice.
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
CA
05/23/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA ROSA CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SANTA ROSA CA)
CA
06/20/1996 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
02/09/1994 - 06/18/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1994
Series 7 - General Securities 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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