Nicholas S. Pile
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Simon Pile's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2014 - Present
UBS FUND SERVICES (USA) LLC
Office #1: 10 State House Square 12th Floor, Hartford, CT 06103May 31, 2006 - March 26, 2014
UBS SECURITIES LLC
March 8, 2006 - May 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 1997 - March 8, 2006
ADVEST, INC.
September 17, 1996 - December 9, 1997
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/3/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 7/12/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
UBS FUND SERVICES (USA) LLC
CRD#: 41848 / SEC#: , 8-49596
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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