Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Behrens is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Nicole has been in the industry since 1992 and holds the Series 7, Series 63, Series 65, and SIE licenses. Nicole has been registered with the state of New York as a Broker-Dealer and Investment Advisor Representative. Nicole is also registered in several other states as a Broker-Dealer and Investment Advisor Representative. Nicole provides financial planning services including investment advice and portfolio management for individuals and businesses. Nicole also has experience providing investment advice to charitable organizations and pension and profit sharing plans.
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
NY
07/02/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SOUTHAMPTON NY)
NJ
04/15/1993 - 02/28/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/15/1992 - 12/23/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/01/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1992
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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