Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Pile is a registered representative with UBS Fund Services (usa) LLC, located in Hartford, Connecticut. Nicholas has been in the financial industry since October 13, 1996. Nicholas is a licensed investment advisor and a securities representative. Nicholas holds several securities licenses, including Series 6, 7, 9, 10, 14, 24, 26, 55, 57TO, 63, 65, and 79TO. Nicholas is currently registered to sell securities in Connecticut.
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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2
CT
04/03/2014 - Present
UBS Fund Services (usa) LLC (HARTFORD CT)
CT
05/31/2006 - 03/26/2014
UBS SECURITIES LLC (STAMFORD CT)
NY
03/08/2006 - 05/10/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CT
12/08/1997 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
MA
09/17/1996 - 12/09/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 11/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/09/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/09/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/30/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/28/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/25/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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