Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nick? Claim Your ProfileNick Eugene Son is a financial advisor who has been in the industry since 1985. Nick is currently registered with B. Riley Wealth Advisors, Inc. Nick's experience includes a variety of firms, including National Securities Corporation, AEGIS Capital Corp., Alexander Capital, L.P., WTS Proprietary Trading Group LLC, and Gunnallen Financial, Inc. Nick offers a range of financial services to individuals, businesses, pension plans, and charitable organizations. Nick holds various licenses and certifications, including Series 6, 7, 26, 63, 65, and 66.
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.
A percentage of the total value of assets under management is charged.
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2
NY
11/30/2021 - Present
B. Riley Wealth Advisors, Inc. (New York NY)
NY
01/02/2020 - 07/22/2022
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
NY
09/11/2014 - 01/14/2020
AEGIS CAPITAL CORP. (NEW YORK NY)
NJ
03/29/2012 - 09/08/2014
ALEXANDER CAPITAL, L.P. (RED BANK NJ)
NY
12/15/2011 - 06/14/2012
WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)
NY
03/29/2010 - 04/08/2011
AEGIS CAPITAL CORP. (NEW YORK NY)
NY
07/05/2002 - 03/29/2010
GUNNALLEN FINANCIAL, INC (NEW YORK NY)
NY
06/01/2001 - 07/08/2002
INVESTPRIVATE, INC. (NEW YORK NY)
NY
07/02/1998 - 05/31/2001
JOSEPHTHAL & CO., INC. (NEW YORK NY)
FL
05/09/1997 - 08/06/1997
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
NY
09/30/1996 - 05/14/1997
WHALE SECURITIES CO., L.P. (NEW YORK NY)
NY
12/05/1995 - 09/30/1996
STATE CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
10/01/1993 - 12/05/1995
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NH
01/24/1992 - 10/13/1993
POLARIS FINANCIAL SERVICES, INC. (CONCORD NH)
NY
03/31/1990 - 02/04/1992
MONY SECURITIES CORP. (NEW YORK NY)
NY
03/31/1990 - 10/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
NJ
08/31/1983 - 01/23/1990
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 11/29/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/17/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/08/1987
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/1992
Series 7 - General Securities Representative Examination
BC
Issued 08/30/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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