Nicholas
Harper

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#3000776
Investment Advisor
in Tempe, AZ

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About this Advisor

Nicholas Harper is an investment advisor in Tempe, Arizona. Currently a registered financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc, they have accumulated 11 years of professional experience. Harper maintains Series 63 and Series 65 licenses, designating the advisor as both a securities agent and an investment advisor representative. Harper is registered to serve investors based out of California and Texas. Their career trajectory has included roles at U.S. Bank, U.S. Bancorp Investments, Inc, Trust Bank, Cetera Investment Services, Cetera Investment Advisers LLC, Bank Of America N.A and Merrill Lynch, Pierce, Fenner & Smith Inc. Merrill Lynch, Pierce, Fenner & Smith Inc is located in Tempe, Arizona, and operates out of 2,958 locations in the country. In total, Merrill Lynch, Pierce, Fenner & Smith Inc manages $820 billion in assets throughout 2,272,151 accounts and employs more than 40,146 people. The firm's total assets under management places it among the biggest firms in the country. The firm manages 755,507 accounts on a discretionary basis, in which the advisor makes all of the buying and selling decisions on the client's behalf. Currently 3% of the firm's customers are high-net-worth individuals, meaning they have over $1 million in assets. Merrill Lynch, Pierce, Fenner & Smith Inc can offer financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. The firm's fees may include asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

11 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for pooled investment vehicles, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Disclosures

Yes

Office Location

1820 E Warner Rd
Tempe, AZ 85284

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$797,284,337,467

AZ Average: $7,464,549,021
Total Number of Employees

41,217

AZ Average: 88
Total Number of Accounts

2,472,247

AZ Average: 3,892
Average Account Size

$322,494

AZ Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

Nicholas Harper Work History

Nicholas has 11 years of experience.

2017 - Present (2 years)

Bank Of America N.A

2017 - Present (2 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2014 - 2017 (3 years)

Cetera Investment Advisers LLC

2013 - 2017 (4 years)

Trust Bank

2013 - 2017 (4 years)

Cetera Investment Services

2008 - 2013 (5 years)

U.S. Bancorp Investments, Inc

2007 - 2013 (6 years)

U.S. Bank

Disclosures

Nicholas Harper has disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Merrill Lynch, Pierce, Fenner & Smith Inc

Katelyn Gallagher
Chandler, AZ
Brendan Ganji
Carmel, CA
Omar Khalil
Visalia, CA
Zachary Stitzer
Santa Monica, CA
Janine Nebbia
White Plains, NY
Damien Martinez
Tacoma, WA
Stephanie Springer
Vero Beach, FL
Matthew Sekera
Walnut Creek, CA

This content was compiled from the SEC and FINRA.

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