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NICHOLAS FRANCIA
Nick Francia, FRANCIA NICK
CRD#: 5796085
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K. STREET NW
WASHINGTON, DC 20005
Registration History
201220142016201820202022202420262 FIRMS2011 - Present (13 years)
License(s)

State Registrations

B
Alabama 3/28/2023

B
Missouri 9/4/2013

B
Alaska 8/11/2015

B
Montana 9/6/2023

B
Arizona 2/1/2013

B
Nebraska 8/23/2023

B
Arkansas 9/4/2013

B
Nevada 7/2/2018

B
California 10/13/2011

B
New Hampshire 8/24/2023

B
Colorado 1/2/2018

B
New Jersey 1/3/2013

B
Connecticut 1/25/2012

B
New Mexico 1/12/2022

IA
Connecticut 12/11/2018

B
New York 10/13/2011

B
Delaware 7/12/2019

B
North Carolina 10/13/2011

B
District of Columbia 7/22/2011

B
North Dakota 9/6/2023

IA
District of Columbia 9/1/2011

B
Ohio 10/13/2011

B
Florida 10/13/2011

B
Oklahoma 6/3/2022

B
Georgia 1/3/2013

B
Oregon 9/4/2013

B
Hawaii 9/4/2013

B
Pennsylvania 9/4/2013

B
Idaho 9/4/2013

B
Rhode Island 3/2/2022

B
Illinois 3/7/2016

B
South Carolina 10/13/2011

B
Indiana 2/19/2019

B
South Dakota 9/6/2023

B
Iowa 8/1/2022

B
Tennessee 2/1/2013

B
Kansas 8/1/2022

B
Texas 8/16/2013

B
Kentucky 9/4/2013

IA
Texas 9/19/2013

B
Louisiana 3/11/2022

B
Utah 3/5/2012

B
Maine 3/7/2019

B
Vermont 3/2/2023

B
Maryland 10/6/2011

B
Virginia 10/6/2011

B
Massachusetts 8/19/2013

B
Washington 1/28/2013

B
Michigan 10/13/2011

B
West Virginia 5/22/2019

B
Minnesota 3/8/2017

B
Wisconsin 1/12/2022

B
Mississippi 8/23/2023

B
Wyoming 2/26/2014

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K. STREET NW, WASHINGTON, DC 20005
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 9/1/2011

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K. STREET NW, WASHINGTON, DC 20005
8 Wright Street, WESTPORT, CT 06880-4701
Registered with this firm since 7/22/2011

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Broker
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Investment Adviser
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.