Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicola? Claim Your ProfileNicola Koo is a financial professional with over 17 years of experience in the industry. Nicola has a Series 7, 3, 55 and 63 license and is registered to provide investment advice in New York. Currently, Nicola is a Registered Representative at Piper Sandler & Co. Prior to this role, Nicola was employed at Old Mission Capital, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Susquehanna Securities.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
NY
03/16/2023 - Present
Piper Sandler & Co. (NEW YORK NY)
IL
05/24/2021 - 03/14/2023
OLD MISSION CAPITAL, LLC (CHICAGO IL)
NY
01/13/2006 - 07/09/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
PA
10/22/2003 - 09/30/2005
SUSQUEHANNA SECURITIES (BALA CYNWYD PA)
PA
09/26/2003 - 09/30/2005
SUSQUEHANNA INVESTMENT GROUP (BALA CYNWYD PA)
BC
Issued 04/22/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/03/2021
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2006
Series 3 - National Commodity Futures Examination
BC
Issued 03/11/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/12/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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