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DN

Daniel Nicholas

HARRIS ASSOCIATES SECURITIES L.P.

CHICAGO, IL

·CRD# 2772206·25 years experience

Professional Summary

Daniel Nicholas, who also goes by Daniel Aric Nicholas, is a registered financial advisor currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Daniel Aric Nicholas

Blog Corner

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Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

25 years in the financial services industry

Current & Past Employments

HARRIS ASSOCIATES SECURITIES L.P.·CRD# 6959

BD

111 S. Wacker Drive Suite 4600, Chicago, IL 60606

November 5, 2012 - Present

MORGAN STANLEY & CO. LLC·CRD# 8209

BD

Chicago, IL

June 18, 2009 - November 2, 2012

UBS SECURITIES LLC·CRD# 7654

BD

Chicago, IL

October 9, 2001 - June 2, 2009

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Current Firm

HA

HARRIS ASSOCIATES SECURITIES L.P.

HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.

CRD#: 6959 / SEC#: 8-19988

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

111 S. Wacker Drive Suite 4600, Chicago, IL 60606

Mailing Address

111 S. Wacker Drive Suite 4600, Chicago, IL 60606

Phone Number

(312) 646-3600

Established

Delaware since 12/12/1986

Firm Type

Partnership

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
HARRIS ASSOCIATES L.P.	MEMBER	—
KELLER, CHRISTOPHER WOLFGANG	PRESIDENT	2865184
PIETRAS, MICHAEL	CHIEF COMPLIANCE OFFICER	4278774
WEBER, ZACHARY DAVID	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	5483343
WRIGHT, RANA JEWEL	CHIEF LEGAL AND ADMINISTRATIVE OFFICER	6357277

Disclosures

Regulatory Event

2

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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

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/5/2012)

RR

Alaska
(11/5/2012)

RR

Arizona
(11/5/2012)

RR

Arkansas
(11/5/2012)

RR

California
(11/5/2012)

RR

Colorado
(11/5/2012)

RR

Connecticut
(11/5/2012)

RR

Delaware
(11/5/2012)

RR

District of Columbia
(11/5/2012)

RR

Florida
(11/5/2012)

RR

Georgia
(11/5/2012)

RR

Hawaii
(11/5/2012)

RR

Idaho
(11/5/2012)

RR

Illinois
(11/5/2012)

RR

Indiana
(11/5/2012)

RR

Iowa
(11/5/2012)

RR

Kansas
(11/5/2012)

RR

Kentucky
(11/5/2012)

RR

Louisiana
(11/5/2012)

RR

Maine
(11/5/2012)

RR

Maryland
(11/5/2012)

RR

Massachusetts
(11/5/2012)

RR

Michigan
(11/5/2012)

RR

Minnesota
(11/5/2012)

RR

Mississippi
(11/5/2012)

RR

Missouri
(11/5/2012)

RR

Montana
(11/5/2012)

RR

Nebraska
(11/5/2012)

RR

Nevada
(11/5/2012)

RR

New Hampshire
(11/5/2012)

RR

New Jersey
(11/5/2012)

RR

New Mexico
(11/5/2012)

RR

New York
(11/5/2012)

RR

North Carolina
(11/5/2012)

RR

North Dakota
(11/5/2012)

RR

Ohio
(11/5/2012)

RR

Oklahoma
(11/5/2012)

RR

Oregon
(11/5/2012)

RR

Pennsylvania
(11/5/2012)

RR

Puerto Rico
(11/5/2012)

RR

Rhode Island
(11/5/2012)

RR

South Carolina
(11/5/2012)

RR

South Dakota
(11/5/2012)

RR

Tennessee
(11/5/2012)

RR

Texas
(11/5/2012)

RR

Utah
(11/5/2012)

RR

Vermont
(11/5/2012)

RR

Virgin Islands
(11/5/2012)

RR

Virginia
(11/5/2012)

RR

Washington
(11/5/2012)

RR

West Virginia
(11/5/2012)

RR

Wisconsin
(11/5/2012)

RR

Wyoming
(11/5/2012)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2001About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

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

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DN

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