Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Anthony has been in the financial services industry since April 20, 1988. Nicholas is currently registered as an Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker dealer with headquarters in New York, NY. Nicholas is also registered as an Investment Advisor Representative in Texas. Prior to joining Merrill Lynch, Nicholas was an Investment Advisor Representative with DEUTSCHE BANK SECURITIES INC. in Los Angeles, CA. Nicholas has a number of professional licenses and designations including Series 3, 7, 9, 10, 15, 63 and 65. Nicholas also has several years of experience in the financial services industry, working in a variety of roles. Nicholas's experience and qualifications make him a valuable resource for clients seeking investment advice and guidance.
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
CA
05/09/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA MONICA CA)
CA
01/13/2001 - 05/10/2011
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
MD
03/01/1999 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NY
06/01/1993 - 03/02/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
09/26/1989 - 06/16/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/15/1987 - 10/18/1988
WALNUT STREET SECURITIES, INC.
IA
Issued 9/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/12/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 7/12/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/28/1994
Series 5 - Interest Rate Options Examination
BC
Issued 1/24/1994
Series 15 - Foreign Currency Options Examination
BC
Issued 10/23/1989
Series 3 - National Commodity Futures Examination
BC
Issued 4/25/1987
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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