Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicolas? Claim Your ProfileNicolas Castaneda is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Nicolas has been in the financial industry since 1997 and has experience working with individuals, high-net-worth individuals, corporations, businesses, charitable organizations, pension and profit-sharing plans, insurance companies, and state or municipal government entities. Nicolas is registered to offer advisory services in 43 states and is also registered with FINRA. In addition to working with clients, Nicolas is an owner in multiple LLCs that focus on property ownership. Nicolas is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc.
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
AZ
07/01/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PEORIA AZ)
AZ
06/01/2009 - 10/25/2010
MORGAN STANLEY SMITH BARNEY (SURPRISE AZ)
AZ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SURPRISE AZ)
AZ
04/15/2005 - 04/02/2007
MORGAN STANLEY DW INC. (SURPRISE AZ)
MO
07/01/2003 - 04/18/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
02/12/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
02/04/1998 - 02/26/2001
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NJ
08/18/1997 - 02/04/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 10/17/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/15/1997
Series 6 - Investment Company Products/Variable Contracts 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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