Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Connor is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Nicholas has been in the financial services industry since 2005. Nicholas holds multiple licenses, including Series 3, 4, 7, 9, 10, 55, 57TO and 66. Nicholas has extensive experience in providing investment advice and portfolio management services to individuals, businesses, and institutions.
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
TX
07/19/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
01/27/2006 - 07/03/2007
TD AMERITRADE, INC. (FORT WORTH TX)
NE
08/08/2005 - 01/30/2006
AMERITRADE, INC. (OMAHA NE)
BOTH
Issued 09/02/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/07/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/18/2007
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2013
Series 3 - National Commodity Futures Examination
BC
Issued 06/26/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/05/2005
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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