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Nicholas James Banks is a financial advisor professional located in Marshfield, MA. They specialize in financial advisory. With over 2 years of experience, they bring deep expertise to every client.
Nicholas James Banks - Mml Investors Services, Llc holds an active professional license (FINRA CRD) for your protection.
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Nicholas James Banks operates MML Investors Services, LLC, a financial advisory firm based in Marshfield, Massachusetts. With 2 years in business, the firm holds a FINRA CRD license number 7566079, which enables registration as a financial professional. The business focuses on providing financial advisory services to clients seeking guidance on investment and wealth management matters. MML Investors Services operates under regulatory oversight through its FINRA registration, ensuring compliance with securities industry standards and requirements.
A FINRA CRD license indicates that Nicholas James Banks is registered with the Financial Industry Regulatory Authority, the primary regulator of securities brokers and financial advisors in the United States. This registration means the advisor operates under FINRA's oversight and must comply with industry rules governing conduct, disclosure, and client interactions. FINRA registration typically requires passing qualifying examinations and ongoing compliance training. Clients working with a FINRA-registered advisor have access to dispute resolution mechanisms and can verify the advisor's registration status through FINRA's public database.