Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Ruggiero is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas has been working in the financial services industry since 1994. Nicholas has a strong track record of success and is committed to providing clients with personalized financial advice and guidance. Nicholas is a Series 7, Series 24, Series 55, Series 57, and Series 63 licensed advisor. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas was with The Benchmark Company, LLC, BANC OF AMERICA SECURITIES LLC, BEAR, STEARNS & CO. INC., and DOMINICK & DOMINICK, INCORPORATED.
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
NJ
05/29/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FREEHOLD NJ)
NJ
08/12/2011 - 11/26/2012
THE BENCHMARK COMPANY, LLC (RED BANK NJ)
NY
03/13/2009 - 07/12/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/17/2009 - 03/27/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
02/06/2004 - 03/17/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
07/16/1996 - 01/23/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CT
09/26/1994 - 07/10/1996
DOMINICK & DOMINICK, INCORPORATED (OLD GREENWICH CT)
BC
Issued 01/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/24/1994
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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