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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Quinlan is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., registered in California and Texas. Nicole has been in the industry since February 25, 2014, and has worked for multiple firms including Morgan Stanley and UnionBanc Investment Services, LLC. Nicole is a licensed investment advisor representative with a Series 7, 63, 65, 9, 10, and 3 licenses, along with a SIE. Nicole is also a licensed investment advisor representative in 53 states and the District of Columbia. Nicole has experience providing financial planning, portfolio management for individuals and businesses, and pension consulting. Nicole is also active in other businesses, including rental property investment, health coaching, and retail/online stores.
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
CA
10/01/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAGUNA NIGUEL CA)
CA
08/19/2015 - 10/15/2020
MORGAN STANLEY (IRVINE CA)
CA
11/24/2014 - 07/07/2015
UNIONBANC INVESTMENT SERVICES, LLC (ORANGE CA)
CA
09/20/2012 - 07/29/2013
MUTUAL SECURITIES, INC. (LAGUNA BEACH CA)
IA
Issued 09/10/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/22/2021
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2012
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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