Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Catania is a financial advisor registered with UBS Financial Services Inc. with over 20 years of experience in the financial services industry. Nicholas is registered with the states of Florida and Texas. Nicholas has Series 7, 31, 63 and SIE licenses. Nicholas works in the Fort Lauderdale, FL branch office. Nicholas specializes in providing financial advice to high-net-worth individuals, businesses, corporations, trusts, charitable organizations, pension and profit-sharing plans, insurance companies, pooled investment vehicles, and government entities. Nicholas also provides financial planning, investment management, and retirement planning services.
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
FL
11/12/2008 - Present
UBS Financial Services Inc. (FT. LAUDERDALE FL)
FL
04/02/2007 - 11/13/2008
MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)
FL
09/18/1996 - 04/02/2007
MORGAN STANLEY DW INC. (FT. LAUDERDALE FL)
BC
Issued 10/03/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1996
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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