Nicholas A. A. Hertz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas A. Andrew Hertz, who also goes by Nicholas Andrew Hertz, Nicholas Hertz, Nick Hertz, was a registered financial professional .
Nicholas A. is a previously registered financial professional and started their career in finance in 2008. Nicholas A. had worked at 3 firms and has passed the Series 66, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2017 - October 27, 2021
BROOKFIELD PRIVATE ADVISORS LLC
April 17, 2015 - November 27, 2017
UBS SECURITIES LLC
October 14, 2008 - November 27, 2017
UBS FINANCIAL SERVICES INC.
September 17, 2008 - November 27, 2017
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKFIELD PRIVATE ADVISORS LLC
CRD#: 151423 / SEC#: , 8-68370
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
