Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Lia Monlon is a financial advisor with DWS Distributors, Inc. located in Chicago, Illinois. Nicole has been in the industry since August 8, 2010, and has a Series 7, Series 63 and SIE. Nicole has been registered with FINRA since October 7, 2021, and is currently licensed in 27 states.
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
IL
10/07/2021 - Present
DWS Distributors, Inc. (CHICAGO IL)
CA
06/04/2020 - 08/18/2020
SELECT CAPITAL CORPORATION (SAN JUAN CAPISTRANO CA)
CO
11/07/2016 - 06/21/2019
BLACK CREEK CAPITAL MARKETS, LLC (DENVER CO)
FL
04/17/2014 - 08/24/2016
CNL SECURITIES CORP. (ORLANDO FL)
NY
03/09/2012 - 04/08/2014
CAREY FINANCIAL, LLC (NEW YORK NY)
MN
09/16/2009 - 10/05/2010
CAPSTONE FINANCIAL GROUP, INC. (FOREST LAKE MN)
CA
07/23/2008 - 11/26/2008
AFA FINANCIAL GROUP, LLC (CALABASAS CA)
CA
04/10/2007 - 08/26/2008
GRIFFIN CAPITAL (IRVINE CA)
CA
06/23/2005 - 09/06/2006
NNN CAPITAL CORP. (SANTA ANA CA)
BC
Issued 04/23/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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