Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Moura is a financial advisor at UBS Financial Services Inc., a firm headquartered in Weehawken, New Jersey. Nicholas is registered to provide investment advice in Connecticut and Texas. Nicholas has worked in the financial industry since 2006. Previous to joining UBS Financial Services Inc., Nicholas was employed at Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Citigroup Global Markets Inc. Nicholas has earned the Series 63, 65 and 7 licenses. Nicholas has been involved with the Greater New Haven Columbus Day Committee since 2011.
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
CT
01/23/2018 - Present
UBS Financial Services Inc. (NEW HAVEN CT)
CT
09/17/2010 - 11/03/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SOUTHBURY CT)
CT
04/09/2009 - 09/23/2010
UBS FINANCIAL SERVICES INC. (WESTPORT CT)
CT
01/01/2006 - 04/27/2009
CITIGROUP GLOBAL MARKETS INC. (WESTPORT CT)
IA
Issued 01/26/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2005
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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