Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shawn? Claim Your ProfileShawn Glen Nicholas is a financial advisor with UBS Financial Services Inc. registered with the state of Texas since 1993. Shawn has been in the financial industry since 1992. Shawn Nicholas holds the Series 7, 31, and 63 licenses. Shawn is a Registered Investment Advisor and is currently registered with the state of Oklahoma. Shawn is also registered as a broker with several other states.
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
TX
12/03/1993 - Present
UBS Financial Services Inc. (PLANO TX)
NY
08/28/1992 - 01/03/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/1992
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
Not sure Shawn Nicholas is the right advisor for you? Invested Better is here to help.
