Nicholas Jon Ugarte

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2020 → 03/2021
  Verus Llc
  Princeton, NJ
• 07/2020 → 08/2020
  Atrium Staffing
  Bridgewater, NJ
• 05/2018 → 01/2020
  Lord & Taylor
  Bridgewater, NJ
• 06/2019 → 08/2019
  Invidi Technologies
  Newtown, PA
• 05/2017 → 08/2017
  Pharmscript Pharmaceuticals
  Somerset, NJ
• 07/2016 → 01/2017
  Homegoods
  Gillette, NJ
• 08/2017 → 05/2021
  Muhlenberg College
  Allentown, PA
• 09/2013 → 06/2017
  Watchung Hills Regional High School
  Warren, NJ
• 06/2021 → 01/2023
  Ubs Financial Services Inc
  Weehawken, NJ
• 01/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 03/2023 → Present
  Bank Of America N.A.
  New York, NY

Previous Registrations

• 2021-10-12 → 2023-02-03
  Ubs Financial Services Inc.
  Weehawken, NJ

Other Businesses

I*: 2129317Entity Type: Entity For ProfitName of OBA: Breaking SoundAddress: Encino, CA 91436Investment Related: nPosition, Title, Association: OtherEmployee Start Date: 12/21/2024No Hours: 3hr/yrNo Hours during trading:0Duties: Music solutions company that puts on showcases for talent in select cities globally. They partner with venues to create events revolving around music discovery. I serve as musician to perform at said venues in partnership with this entity. I*2642269, Entity Type: Entity Charitable, Name of OBA: Eye-Bank for Sight Restoration, Inc,, Address: New York, New York, 10005, Investment Related: N, Position, Title, Association: Committee, Employee State Date: 07/21/2025, No Hours: 5 Monthly, No Hours during Trading: 0 Monthly, Duties: Attend the Annual Meeting, Eye Bank engagement events and fundraisers. Be an ambassador for theorganization to the public. Build the organization's community connections through personal and professional relationships. Strengthen the organization's financial base by assisting in fundraising efforts, personally raising $1,000

Exams

• S66 Uniform Combined State Law Examination
  2021-10-08