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Rick Nichols

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Rick Nichols

Rick Nichols is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., based in Lincoln, Rhode Island. Rick has been in the financial services industry since 2002. Rick is registered with FINRA and is a registered investment advisor representative in Connecticut, Rhode Island and Texas. Rick has been with Merrill Lynch since 2021. Prior to that, Rick was with Fidelity Distributors Company LLC, Pyramis Distributors Corporation LLC and Fidelity Brokerage Services LLC. Rick holds Series 7, 9, 10, 63, and 66 licenses. Rick's specialties include securities and investment advisory services.

Firm Information

Rick Nichols is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Rick Nichols’s Registration & Firm History

RI

03/23/2021 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (LINCOLN RI)

RI

05/12/2016 - 04/06/2020

FIDELITY DISTRIBUTORS COMPANY LLC (SMITHFIELD RI)

RI

01/13/2009 - 05/12/2016

PYRAMIS DISTRIBUTORS CORPORATION LLC (SMITHFIELD RI)

RI

12/04/2008 - 02/02/2009

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

MA

06/13/2007 - 11/19/2008

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

MA

04/19/2007 - 11/19/2008

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

MA

03/29/2001 - 06/04/2007

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

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Licenses & Designations

BOTH

Issued 03/19/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/13/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/10/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 11/23/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/28/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Rick Nichols.
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