Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shaun? Claim Your ProfileShaun Nicholson is an active investment advisor representative with UBS Financial Services Inc. Shaun has been in the industry since March 6, 1981. Shaun has licenses in Ohio and Texas, and is registered with FINRA. Shaun also has several other licenses and certifications. Shaun is a member of the Board of Directors for the Greene County Community Foundation and the WDPR Public Radio.
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
OH
02/16/2005 - Present
UBS Financial Services Inc. (Miamisburg OH)
NY
08/31/1992 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NJ
02/02/1988 - 08/26/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
02/15/1988 - 03/03/1988
SHEARSON LEHMAN HUTTON INC.
NA
03/03/1981 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1986
Series 3 - National Commodity Futures Examination
BC
Issued 01/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 05/05/1981
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 04/24/1981
Series 6 - Investment Company Products/Variable Contracts 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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