Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole King is a financial advisor with UBS Financial Services Inc. Nicole is registered with FINRA and licensed with the state of Connecticut and Texas. Nicole has been in the financial industry since December 2020 and is a Series 66, Series 7, and SIE licensed professional. Nicole provides a broad range of financial services to individuals, businesses, charitable organizations, and pensions. Nicole has a strong background in investment management and financial planning, and she is committed to providing her clients with the highest level of service.
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
CT
06/01/2022 - Present
UBS Financial Services Inc. (HARTFORD CT)
BOTH
Issued 01/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/17/2020
SIE - Securities Industry Essentials 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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