Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Hui is a financial professional with over 14 years of experience in the industry. Nicole is currently registered with CCO Capital, LLC and is licensed to offer investment advice in all 50 states. Nicole holds a Series 3, Series 7 and Series 63 license, and has worked with firms such as T. Rowe Price Investment Services, Inc., Neuberger Berman LLC, Pinebridge Securities LLC and J.P. Morgan Institutional Investments Inc.
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.
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2
CA
02/26/2024 - Present
CCO Capital, LLC (Los Angeles CA)
CA
03/10/2016 - 02/06/2024
T. ROWE PRICE INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
NY
06/23/2014 - 02/24/2016
NEUBERGER BERMAN LLC (NEW YORK NY)
NY
10/25/2013 - 05/27/2014
PINEBRIDGE SECURITIES LLC (NEW YORK NY)
MD
07/26/2013 - 08/20/2013
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
CA
01/01/2009 - 08/07/2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (SAN FRANCISCO CA)
BC
Issued 02/09/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/31/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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