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Detailed Report
Nicholas S Matulich JR
NICHOLAS SAMUEL MATULICH JR, NICK MATULICH
CRD#: 1407290
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 601 POYDRAS ST
NEW ORLEANS, LA 70130
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - Present (37 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - Present (38 years)BMBS INVESTMENTS, INC. (CRD# 8311)1985 - 1986 (<1 year)
Disclosure(s)
View By:
7/19/1998
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/10/2004
IA
Louisiana 12/22/2015
B
Alaska 4/13/2010
B
Maryland 1/4/1997
B
Arizona 4/28/1998
B
Mississippi 9/22/1986
B
Arkansas 11/10/2021
B
New Jersey 9/9/2024
B
California 8/3/1988
B
New York 3/16/1994
B
Florida 6/10/1988
B
Oklahoma 11/27/2006
B
Georgia 5/23/2003
B
Texas 5/15/1987
B
Hawaii 2/2/1999
IA
Texas 5/15/1987
B
Illinois 10/14/2024
B
Washington 1/8/2018
B
Louisiana 4/28/1986

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 POYDRAS ST, NEW ORLEANS, LA 70130
Metairie, LA
Registered with this firm since 5/15/1987
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
601 POYDRAS ST, NEW ORLEANS, LA 70130
Metairie, LA
Registered with this firm since 5/23/1986
Previous Registration(s)
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B
 09/11/1985 - 02/13/1986 MBS INVESTMENTS, INC. (CRD#:8311)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.