Nicholas Herem, financial advisor Salt Lake City UT
93 score

Nicholas Herem

CRD Number: 5497606
Current Firm: Ubs Financial Services Inc.

Nicholas Herem (CRD# 5497606) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Salt Lake City, UT and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Salt Lake City, UT May 2014 - Current 2
University Of Utah Salt Lake City, UT Jan 2008 - Current 8
Unemployed Famington, UT Oct 2013 - May 2014 < 1
Fidelity Brokerage Services LLC Salt Lake City, UT Jun 2010 - Oct 2013 3
Thomas & Sons, LLC Centerville, UT Jul 2009 - Jun 2010 < 1
Fidelity Brokerage Services LLC Salt Lake City, UT Mar 2008 - Feb 2009 < 1
Advanced Lifts, The Elevator Company North Salt Lake, UT Oct 2006 - Jan 2008 1
Sliver Rock North Salt Lake, UT Aug 2006 - Oct 2006 < 1
General Distributing Salt Lake City, UT May 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Sep 2014
S63 Uniform Securities State Law Examination Nov 2008
Contact Info for Nicholas O. Herem
Phone Number: 201-352-3000
Registered State(s):
  • UT
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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