Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Pontikes is a financial professional with over 20 years of experience in the securities industry. Nicholas is currently registered with Mesirow Financial, Inc. and holds Series 7, Series 63, SIE and Series 79TO licenses. Nicholas has held previous registrations with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicholas is registered in Illinois.
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.
1
2
IL
06/07/2001 - Present
Mesirow Financial, Inc. (CHICAGO IL)
NY
09/10/1999 - 07/11/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 09/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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