Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Looman is a financial advisor with over 20 years of experience in the industry. Nicole has worked with several firms including American Express Financial Advisors Inc., IDS Life Insurance Company, Invest Financial Corporation, ING Financial Advisers, LLC and RBC CAPITAL MARKETS, LLC before joining Wells Fargo Clearing Services, LLC. Nicole holds the Series 7, Series 63 and Series 66 licenses. Nicole provides investment consulting services to institutional clients and offers financial planning, pension consulting and selection of other advisors services. Nicole is registered in 24 states across the U.S.
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.
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.
Investment consulting services to institutional clients
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
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (CLINTON NY)
NY
02/25/2008 - 07/17/2014
RBC CAPITAL MARKETS, LLC (NEW HARTFORD NY)
NY
03/08/2006 - 02/26/2008
ING FINANCIAL ADVISERS, LLC (SYRACUSE NY)
WI
05/05/2003 - 06/24/2004
INVEST FINANCIAL CORPORATION (APPLETON WI)
MN
07/18/2001 - 08/07/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/18/2001 - 08/07/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 12/03/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/26/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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