Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicolas? Claim Your ProfileNicolas Bergengruen is a financial advisor with UBS Financial Services Inc. who has been in the industry since August 17, 2002. Nicolas is registered in Florida as both a Broker-Dealer and an Investment Advisor. He is also a Principal at the firm. Nicolas previously worked at UBS International Inc., and Dresdner Lateinamerika Financial Advisors LLC. Nicolas holds the Series 3, 7, 9, 10, 24 and 66 licenses. He specializes in working with individuals, families, small businesses, corporations, and institutions.
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.
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.
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.
See schedule d - miscellaneous
1
2
NA
01/01/2010 - Present
UBS Financial Services Inc. (MONTEVIDEO )
FL
08/29/2005 - 01/01/2010
UBS INTERNATIONAL INC. (MIAMI FL)
FL
07/03/2002 - 07/13/2005
DRESDNER LATEINAMERIKA FINANCIAL ADVISORS LLC (MIAMI FL)
BOTH
Issued 07/01/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/21/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/28/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/30/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2007
Series 3 - National Commodity Futures Examination
BC
Issued 04/24/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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