Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicki? Claim Your ProfileNicki M. Nie is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Newport Beach, CA. Nicki has been in the financial services industry for over 13 years. Nicki is registered with FINRA and has a Series 66 license. Nicki also holds a Series 7 license. Nicki is also registered to sell securities in several other states, including Arizona, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, Ohio, Oregon, Pennsylvania, Texas, Virginia, and Washington. Nicki is also registered with the state of California as an Investment Advisor Representative. Nicki offers a variety of financial services, including investment management, financial planning, and retirement planning. Nicki has experience working with a variety of clients, including high-net-worth individuals, families, and businesses. Nicki is committed to providing her clients with the highest level of personalized service and financial guidance.
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
01/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
09/21/2012 - 02/01/2016
UBS FINANCIAL SERVICES INC. (IRVINE CA)
CA
09/30/2010 - 07/09/2012
UBS FINANCIAL SERVICES INC. (SACRAMENTO CA)
CA
09/30/2009 - 10/22/2010
MORGAN STANLEY SMITH BARNEY (SACRAMENTO CA)
BOTH
Issued 11/11/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2009
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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