Nicholas Pile
Professional Summary
Nicholas Pile, who also goes by Nicholas Simon Pile, is a registered financial advisor currently at UBS FUND SERVICES (USA) LLC located in Hartford, Connecticut. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1996. Nicholas has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 6, Series 14, Series 10, Series 9, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas Simon Pile
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
ALLEGIS CAPITAL LLC | UBS FUND SERVICES (USA) LLC | UBS ASSET MANAGEMENT, REAL ESTATE - US
Contact Information
Main Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604Mailing Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604Phone Number
(860) 616-9000Established
Delaware since 06/30/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/3/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 2004Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1996About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2000About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 1996About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas Pile's CRS (Customer Relationship Summary).
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