Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Oliver Herem is a financial advisor who has been in the industry since July 13, 2011. Nicholas is currently registered with UBS Financial Services Inc. in Plano, Texas and has been with the firm since December 24, 2019. Previously, Nicholas worked for UBS Financial Services Inc. in Salt Lake City, Utah and Fidelity Brokerage Services LLC in Salt Lake City, Utah. Nicholas holds a Series 7, Series 63, and Series 65 license. Nicholas is also a Certified Financial Planner.
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
TX
12/24/2019 - Present
UBS Financial Services Inc. (PLANO TX)
UT
06/09/2014 - 03/05/2019
UBS FINANCIAL SERVICES INC. (SALT LAKE CITY UT)
UT
07/30/2010 - 11/05/2013
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
UT
11/17/2008 - 02/13/2009
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
IA
Issued 09/05/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/26/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2008
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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