Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nick? Claim Your ProfileNick Cassidy is an Investment Advisor Representative who has been in the financial services industry for over 16 years. Nick has a Series 7, 9, 10, 31, and 66 license. Nick is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has experience in providing financial services to individuals, businesses, charitable organizations, pension and profit-sharing plans, and insurance companies. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Nick worked at BANC OF AMERICA INVESTMENT SERVICES, INC.. Nick is also registered with the state of California. The information presented is for informational purposes only and is not to be considered investment advice.
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
01/23/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA BARBARA CA)
CA
11/10/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
BOTH
Issued 11/20/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/14/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/07/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 11/09/2006
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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