Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Marie Dawes is a financial advisor with over 20 years of experience in the industry. Nicole is registered with the state of Michigan as both a broker-dealer and an investment advisor representative. Nicole is currently affiliated with Independent Advisor Alliance, LLC. Previous to this, Nicole has held positions with Oppenheimer & Co. Inc. and McDonald Investments Inc. Nicole has a Series 7 and Series 63, and is also a holder of the SIE and Series 65 licenses. Nicole has a strong background in financial planning, portfolio management for individuals and businesses, and pension consulting.
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.
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.
A percentage of the total value of assets under management is charged.
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MI
12/13/2018 - Present
Independent Advisor Alliance, LLC (Grand Rapids MI)
MI
11/10/2003 - 07/15/2011
OPPENHEIMER & CO. INC. (GRAND RAPIDS MI)
OH
08/22/2000 - 11/26/2003
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
IA
Issued 02/25/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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