AdFi
NM

Nicholas M Jacobs

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Davenport, IACRD #4388767Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
38 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 38 states
AlabamaArizonaCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaHawaiiIllinoisIndianaIowaKansasKentuckyMarylandMassachusettsMichiganMinnesotaMissouriMontanaNebraskaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/24/2013
Series 63
Uniform Securities Agent State Law Examination
Passed 3/8/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/15/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
2/4/2013Davenport, IA
SUNAMERICA CAPITAL SERVICES, INC.
5/5/20101/2/2013Jersey City, NJ
PACIFIC SELECT DISTRIBUTORS, INC.
6/18/20085/10/2010Newport Beach, CA
AXA DISTRIBUTORS, LLC
12/10/20074/9/2008Charlotte, NC
PACIFIC SELECT DISTRIBUTORS, INC.
3/2/200512/12/2007Newport Beach, CA
AIG SUNAMERICA CAPITAL SERVICES, INC.
4/14/20042/24/2005Jersey City, NJ
PLANCO FINANCIAL SERVICES, INC.
2/26/20022/6/2004Hartford, CT
TRANSAMERICA CAPITAL, INC.
5/17/20012/27/2002Denver, CO

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas M Jacobs has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Nicholas M Jacobs - Financial Advisor in Davenport, IA | AdvisorFinder