Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Christine Simon is a financial professional with over 15 years of experience in the industry. Nicole is currently registered with Axos Clearing LLC in Omaha, NE. Previously, Nicole was registered with Securities America, Inc. Nicole holds Series 4, 7, 24, 52TO, 53, 99TO, SIE and 66 licenses.
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.
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.
1
2
NE
04/17/2017 - Present
Axos Clearing LLC (Omaha NE)
NE
06/20/2007 - 04/14/2017
SECURITIES AMERICA, INC. (LAVISTA NE)
BOTH
Issued 10/22/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/04/2008
Series 4 - Registered Options Principal Examination
BC
Issued 02/06/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/20/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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