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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nick? Claim Your ProfileNick Alexander is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. with over 20 years of experience in the financial services industry. Nick has held previous positions at Union Bank Investment Services, LLC, Wells Fargo Clearing Services, LLC and Wells Fargo Investments, LLC. Nick holds a Series 63, Series 66, and Series 7 license. Nick has a strong background in providing investment advice to individuals and businesses, specializing in Retirement Planning, Investment Planning, Insurance, and Estate Planning.
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
04/19/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ENCINO CA)
CA
05/07/2022 - 03/22/2023
UNIONBANC INVESTMENT SERVICES, LLC (GLENDALE CA)
CA
01/03/2011 - 06/07/2021
WELLS FARGO CLEARING SERVICES, LLC (WOODLAND HILLS CA)
CA
09/23/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (NORTHRIDGE CA)
CA
06/22/2007 - 08/10/2007
INVEST FINANCIAL CORPORATION (BURBANK CA)
CA
07/11/2006 - 06/19/2007
WM FINANCIAL SERVICES, INC. (NORTH HOLLYWOOD CA)
MA
04/25/2000 - 07/20/2004
WILLIAM O'NEIL & COMPANY, INCORPORATED (BOSTON MA)
BOTH
Issued 03/09/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2000
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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