Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nick? Claim Your ProfileNick Bapis is a financial advisor registered with Rockefeller Financial LLC in Salt Lake City, UT. Nick Bapis has been a registered representative since 1973. Nick has experience with a wide range of clients, including individuals, families, charitable organizations, corporations and business owners.
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.
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
UT
06/03/2019 - Present
Rockefeller Financial LLC (Salt Lake City UT)
UT
09/07/2018 - 01/17/2020
AXIOM CAPITAL MANAGEMENT, INC. (Salt Lake City UT)
UT
11/07/2008 - 09/12/2018
HIGHTOWER SECURITIES, LLC (SALT LAKE CITY UT)
UT
04/02/2007 - 11/10/2008
MORGAN STANLEY & CO. INCORPORATED (SALT LAKE CITY UT)
UT
01/25/1988 - 04/02/2007
MORGAN STANLEY DW INC. (SALT LAKE CITY UT)
NA
02/15/1988 - 05/09/1991
LEHMAN BROTHERS INC.
NA
07/18/1973 - 02/15/1988
E. F. HUTTON & COMPANY INC
BC
Issued 05/15/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/13/1979
Series 12 - NYSE Branch Manager Examination
BC
Issued 05/08/1978
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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