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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 Paterakos is an Investment Advisor Representative with UBS Financial Services Inc., a broker-dealer and investment advisor with more than $50 billion in assets under management. Nick has been in the financial services industry since 1982 and has been registered with UBS Financial Services Inc. since 2000. Nick has a Series 7, Series 31 and Series 63 license. Nick Paterakos provides financial planning and investment management services to a variety of clients, including individuals, families, businesses, and institutions. Nick is a licensed Investment Advisor Representative in Illinois and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
IL
04/05/2010 - Present
UBS Financial Services Inc. (CHICAGO IL)
IL
12/18/1993 - 11/22/2000
MESIROW FINANCIAL, INC. (CHICAGO IL)
NA
12/14/1993 - 03/23/1994
MESIROW FINANCIAL, INC.
NA
12/19/1986 - 01/01/1994
MESIROW INVESTMENT SERVICES, INC.
NA
08/26/1982 - 01/06/1987
PEMBROKE CLEARING CORPORATION
IA
Issued 04/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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