Nicholas George Needs

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 06/2020 → 07/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rolling Meadows, IL
• 10/2018 → 05/2019
  University Of Illinois Foundation
  Champaign, IL
• 05/2019 → 08/2019
  Climate Corporation (Bayer)
  Creve Coeur, MO
• 10/2017 → 08/2018
  Herbolsheimer Law Office
  Lasalle, IL
• 06/2016 → 10/2017
  Illinois Valley Community College
  Oglesby, IL
• 05/2016 → 08/2019
  Saint Bede Academy
  Peru, IL
• 05/2019 → 05/2020
  University Of Illinois Foundation
  Champaign, IL
• 08/2018 → 05/2020
  University Of Illinois
  Champaign, IL
• 08/2016 → 05/2018
  Illinois Valley Community College
  Oglesby, IL
• 11/2021 → 10/2024
  Ameriprise Financial Services, Llc
  Deerfield, IL
• 08/2021 → 11/2021
  Uber
  Schaumburg, IL
• 10/2024 → Present
  Ubs Financial Services Inc.
  Chicago, IL

Previous Registrations

• 2022-11-18 → 2024-10-25
  Ameriprise Financial Services, Llc
  Deerfield, IL
  Libertyville, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-08-20
• S63 Uniform Securities Agent State Law Examination
  2022-04-08