Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nichole? Claim Your ProfileNichole Rogers is a financial advisor who has been in the industry since 2000. Nichole is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed in 53 states. Nichole has previously worked for First Southwest Company, National Financial Services LLC and Fidelity Brokerage Services LLC. Nichole specializes in providing financial advice to individuals, businesses, pension and profit sharing plans, insurance companies, charitable organizations, and state or municipal government entities. Nichole offers a variety of financial services including portfolio management, investment advisory services, educational seminars, and selection of other advisors.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
TX
06/07/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
08/12/2010 - 04/03/2013
FIRST SOUTHWEST COMPANY (DALLAS TX)
TX
11/28/2008 - 04/13/2010
NATIONAL FINANCIAL SERVICES LLC (WESTLAKE TX)
TX
04/05/2000 - 10/06/2008
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
IA
Issued 06/05/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/22/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/04/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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