Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicola? Claim Your ProfileNicola Acton is a financial advisor with Bofa Securities, Inc., based in New York, NY. Nicola has been in the financial services industry for over 10 years and has a strong track record of success. Nicola's previous experience includes roles at J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, and Goldman, Sachs & Co. Nicola has a wide range of experience in the financial services industry. In addition to her Series 7, 24, 57TO and SIE licenses, Nicola is also a registered principal with FINRA. Nicola is dedicated to providing her clients with personalized financial advice and 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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
10/26/2020 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
07/11/2017 - 08/24/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
11/20/2013 - 04/28/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/13/2010 - 06/28/2013
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
03/26/2008 - 10/20/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 05/02/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2019
Series 24 - General Securities Principal Examination
BC
Issued 11/24/2020
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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