Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Walker is a financial advisor who has been in the industry since 2005. Nicholas is currently registered with Mesirow Financial, Inc. in Boston, Massachusetts. Previously, Nicholas worked at Waterway Capital LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Securities LLC and Legg Mason Wood Walker, Incorporated. Nicholas is a Series 7, Series 63, Series 79, and SIE licensed advisor. Nicholas has been registered in Illinois, Massachusetts, New York, and Utah.
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.
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.
1
2
MA
05/03/2022 - Present
Mesirow Financial, Inc. (Boston MA)
MA
06/02/2010 - 05/04/2022
WATERWAY CAPITAL LLC (BOSTON MA)
NY
03/05/2009 - 03/24/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/03/2008 - 03/24/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
MA
04/04/2005 - 05/08/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MD
03/05/2003 - 03/04/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BC
Issued 09/17/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/02/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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