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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 Rowan is an investment advisor representative with UBS Financial Services Inc. based in St. Paul, Minnesota. Nicholas has been in the industry since 1997 and has held previous positions at Piper Jaffray & Co. and U.S. Bancorp Investments, Inc. Nicholas is registered with the Securities and Exchange Commission and holds several licenses including the Series 7, Series 52, Series 63, and Series 66. Nicholas specializes in working with individuals, high-net-worth individuals, corporations, and pension plans. Nicholas and UBS Financial Services Inc. offer a range of investment advisory services including financial planning, portfolio management, and investment seminars.
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
MN
09/20/2010 - Present
UBS Financial Services Inc. (ST PAUL MN)
MN
01/26/2000 - 08/12/2006
PIPER JAFFRAY & CO. (ST PAUL MN)
MN
09/26/1997 - 09/04/2001
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MI
01/06/1997 - 05/08/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 10/27/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/31/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/1997
Series 7 - General Securities Representative Examination
BC
Issued 12/05/1996
Series 52 - Municipal 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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