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Nicholas Peter Kaldis

Ubs Financial Services Inc.

Columbus, OH

Sherman Oaks, CA

Columbus, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2021-06-14
CA RA APPROVED 2015-08-04
  • OH RA
    APPROVED
    Since 2021-06-14
  • CA RA
    APPROVED
    Since 2015-08-04

Branch Locations

5007 Horizons Drive, Columbus, OH 43220 • United States

15260 Ventura Boulevard Suite 1800, Sherman Oaks, CA 91403 • United States

Columbus, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Los Angeles CA 03/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-08-04
  • S66 Uniform Combined State Law Examination
    2015-08-04
Other Names
  • Nicholas Kaldis

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBUS, OH
EDELMAN FINANCIAL ENGINES · COLUMBUS, OH
ACCOLADE ASSET/LIABILITY ADVISORY SERVICES · COLUMBUS, OH
SIGNATURE EQUITY PARTNERS, LLC · Columbus, OH
STRATEGIC ADVISERS LLC · COLUMBUS, OH
PARK AVENUE SECURITIES LLC · COLUMBUS, OH
W&S BROKERAGE SERVICES, INC. · Columbus, OH
AMERIPRISE FINANCIAL SERVICES, LLC · COLUMBUS, OH

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