Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Lauree Trottier-rogers is a registered representative with Raymond James & Associates, Inc. Nicole has been in the industry since 2000. Nicole has a strong background in financial services, having worked for a number of firms over the years, including CETERA INVESTMENT SERVICES LLC, TD WEALTH MANAGEMENT SERVICES INC., BANCNORTH INVESTMENT GROUP, INC., UBS FINANCIAL SERVICES INC., and MORGAN STANLEY DW INC. Nicole is registered with the state of Maine to provide both broker-dealer and investment advisory services.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
ME
03/09/2016 - Present
Raymond James & Associates, Inc. (PORTLAND ME)
ME
06/02/2011 - 03/10/2016
CETERA INVESTMENT SERVICES LLC (SACO ME)
ME
11/17/2009 - 07/28/2010
TD WEALTH MANAGEMENT SERVICES INC. (PORTLAND ME)
ME
09/07/2005 - 11/17/2009
BANCNORTH INVESTMENT GROUP, INC. (PORTLAND ME)
NJ
06/02/2003 - 09/02/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/21/2000 - 05/27/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 11/27/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/24/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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