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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 Baumgartner is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 25 years of experience in the industry. Nicholas has been registered as a broker-dealer and investment advisor representative in several states including Ohio, Texas and others. Nicholas has passed the Series 66, Series 63, Series 24 and Series 53 exams and holds a Series 7 and the SIE exams. Nicholas is specialized in investment management, including portfolio management for businesses and individuals. In addition to Nicholas's experience at Merrill Lynch, Pierce, Fenner & Smith Inc., Nicholas has experience at Fifth Third Securities, Inc.. Nicholas has a proven track record of success in the financial services industry and is dedicated to providing clients with the highest level of service.
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
OH
07/22/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CINCINNATI OH)
NA
07/20/1988 - 08/18/1992
FIFTH THIRD SECURITIES, INC.
BOTH
Issued 05/31/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/13/1992
Series 24 - General Securities Principal Examination
BC
Issued 02/27/1990
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2000
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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