Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Catherine Stoller is a financial professional with over 11 years of experience in the industry. Nicole is currently registered with Northern Trust Securities, Inc. and has been in this role since December 2021. Prior to this, Nicole held positions with Franklin Distributors, LLC, KKR Capital Markets LLC, Barclays Capital Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Nicole holds Series 3, SIE, and Series 7 licenses. Nicole specializes in providing investment advice to high-net-worth individuals, corporations or other businesses, charitable organizations, and partnerships.
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.
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.
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.
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2
IL
12/15/2021 - Present
Northern Trust Securities, Inc. (CHICAGO IL)
CA
07/07/2015 - 08/17/2021
FRANKLIN DISTRIBUTORS, LLC (PASADENA CA)
CA
07/20/2012 - 03/05/2014
KKR CAPITAL MARKETS LLC (SAN FRANCISCO CA)
NY
09/01/2010 - 03/29/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
08/21/2009 - 08/25/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 08/31/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/14/2022
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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