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NP

Nicholas S. Pile

UBS FUND SERVICES (USA) LLC
Hartford, CT 06103
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CRD#: 2727759
NP

Professional summary


Nicholas Simon Pile, who also goes by Nicholas Simon Pile, is a registered financial professional 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 Series 26 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Nicholas Simon Pile

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.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Nicholas Simon Pile's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

April 3, 2014 - Present

UBS FUND SERVICES (USA) LLC

Office #1: 10 State House Square 12th Floor, Hartford, CT 06103
BD
CRD#: 41848
Hartford, CT
Past

May 31, 2006 - March 26, 2014

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

March 8, 2006 - May 10, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 8, 1997 - March 8, 2006

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

September 17, 1996 - December 9, 1997

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/3/2014)

Exams


State Security Law Exam
IAR
Series 65
Date: 11/12/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/12/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


UF
UBS FUND SERVICES (USA) LLC
ALLEGIS CAPITAL LLC | UBS FUND SERVICES (USA) LLC | UBS ASSET MANAGEMENT, REAL ESTATE - US

CRD#: 41848 / SEC#: , 8-49596

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information


Main Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Mailing Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Phone number
(860) 616-9000
Established
Delaware since 06/30/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
UBS REALTY INVESTORS LLCMEMBER
HORAN, KATHLEEN ELIZABETHFINOP/CFO5188874
KAPILOFF, STEVEN MARKGENERAL COUNSEL/SECRETARY6363927
O'SHEA, THOMAS JAMESPRESIDENT/CEO4803329
PILE, NICHOLAS SIMONCHIEF COMPLIANCE OFFICER2727759

Red Flags


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.

Company Information


UBS FUND SERVICES (USA) LLC

CRD#: 41848Hartford, CT 06103

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