Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nichole? Claim Your ProfileNichole Marie McCarthy is a financial advisor with Ameriprise Financial Services, LLC. Nichole has been working in the financial services industry for over 18 years. Nichole is registered with the state of Connecticut as an investment advisor representative and is also registered with the state of Texas as an investment advisor representative. Nichole holds FINRA licenses Series 66, Series 7 and SIE. Nichole's previous employers include Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, Morgan Stanley, Morgan Stanley & Co. Incorporated, and UBS Financial Services Inc. Nichole has a wide range of experience in the financial services industry and is committed to providing her clients with the highest level of service.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
CT
02/26/2020 - Present
Ameriprise Financial Services, LLC (Westport CT)
CT
03/14/2014 - 02/19/2020
WELLS FARGO CLEARING SERVICES, LLC (WESTPORT CT)
CT
06/01/2009 - 03/20/2014
MORGAN STANLEY (WESTPORT CT)
CT
04/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WESTPORT CT)
CT
03/07/2002 - 04/29/2008
UBS FINANCIAL SERVICES INC. (WESTPORT CT)
BOTH
Issued 05/15/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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