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Nicole Lee Girot

Empower Financial Services, Inc.

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About Nicole Lee Girot

Nicole Girot is a financial professional with over 15 years of experience in the industry. Nicole currently works at Empower Financial Services, Inc. in Dubuque, Iowa. Nicole previously worked at Prudential Investment Management Services LLC in various locations including Scranton, PA, Newark, NJ, and Hartford, CT. Nicole holds a Series 7, 6, 63, 24 and 26 licenses. Nicole is currently registered in Illinois and Nevada.

Firm Information

Nicole Girot is currently registered with Empower Financial Services, Inc.. Empower Financial Services, Inc. is a Corporation formed in 1984-10-12. It is registered in 53 states and has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

1,120

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Nicole Girot’s Registration & Firm History

IA

04/04/2022 - Present

Empower Financial Services, Inc. (Dubuque IA)

IA

10/05/2018 - 04/04/2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (Dubuque IA)

PA

06/13/2007 - 05/25/2011

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (SCRANTON PA)

NJ

04/30/2005 - 07/14/2005

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

CT

06/29/1999 - 04/30/2005

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC. (HARTFORD CT)

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Licenses & Designations

BC

Issued 11/02/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/11/2019

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 12/20/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/06/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/2018

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 09/03/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicole Lee Girot.
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