Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nichol? Claim Your ProfileNichol Rogers is a financial advisor at Robert W. Baird & Co. Inc., a firm with over $287 billion in regulatory assets under management. Nichol has been in the financial services industry for over 20 years and has a diverse background working with a variety of clients, including high-net-worth individuals, corporations, and institutions. Nichol has a deep understanding of the financial markets and a commitment to providing her clients with personalized investment advice and guidance. She specializes in portfolio management, financial planning, and retirement planning. She holds the Series 7, 63, 65, 9 and 10 licenses. She also has a strong commitment to giving back to her community, serving on the board of directors for Micah House, a non-profit organization that provides emergency shelter and support to families in need.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NE
07/20/2022 - Present
Robert W. Baird & Co. Inc. (Omaha NE)
NE
06/07/2021 - 05/04/2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (OMAHA NE)
NE
04/30/2007 - 05/03/2021
WELLS FARGO CLEARING SERVICES, LLC (OMAHA NE)
SC
05/02/2003 - 05/17/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
06/06/2000 - 04/11/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/13/1998 - 06/16/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
05/22/1998 - 09/08/1998
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 01/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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