Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Choi is a financial advisor with UBS Financial Services Inc., specializing in a wide range of financial services. Nicole has over 15 years of experience in the financial industry, working with various firms including CETERA ADVISORS LLC, FIRST ALLIED SECURITIES, INC., LPL FINANCIAL LLC, LUCIA SECURITIES, LLC, and SECURITIES SERVICE NETWORK, INC. Nicole holds multiple licenses and certifications including Series 7, Series 24, Series 4, Series 52, Series 53, and Series 66.
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
CA
05/31/2023 - Present
UBS Financial Services Inc. (SAN DIEGO CA)
CA
05/22/2020 - 06/02/2023
CETERA ADVISORS LLC (SAN DIEGO CA)
CA
03/21/2019 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
01/30/2013 - 03/25/2019
LPL FINANCIAL LLC (SAN DIEGO CA)
CA
07/12/2012 - 12/07/2012
LUCIA SECURITIES, LLC (SAN DIEGO CA)
CA
09/12/2011 - 03/02/2012
LUCIA SECURITIES, LLC (SAN DIEGO CA)
CA
08/06/2008 - 12/05/2011
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
12/05/2007 - 07/03/2008
SECURITIES SERVICE NETWORK, INC. (SAN DIEGO CA)
BOTH
Issued 12/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/2019
Series 4 - Registered Options Principal Examination
BC
Issued 07/02/2014
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/23/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2007
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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