Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Valos is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas is a Registered Representative and Investment Advisor Representative. Nicholas has been in the securities industry for over 7 years. Nicholas has passed the Series 66, Series 7 and SIE exams. Nicholas has worked for several firms in the past, including Empower Financial Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley. Nicholas specializes in providing financial advice to high net worth individuals, corporations and other businesses, pension and profit-sharing plans, charitable organizations, insurance companies, and state or municipal government entities.
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
08/23/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BAKERSFIELD CA)
CO
01/31/2022 - 08/16/2023
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CA
12/22/2016 - 01/18/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BAKERSFIELD CA)
CA
01/27/2016 - 12/14/2016
MORGAN STANLEY (BAKERSFIELD CA)
BOTH
Issued 02/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2016
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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