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 Ugalde is a financial professional with over 16 years of experience in the industry. Currently registered with MFS Fund Distributors, Inc., Nicole has a wide range of experience, having previously worked at firms such as Royal Alliance Associates, Inc., FSC Securities Corporation, and Capital Brokerage Corporation. Nicole holds a number of licenses and certifications, including Series 4, 7, 24, 53, and 66.
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
AZ
06/13/2012 - Present
MFS Fund Distributors, Inc. (PHOENIX AZ)
AZ
01/06/2010 - 05/22/2012
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
GA
01/04/2010 - 05/22/2012
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
03/30/2009 - 05/22/2012
SAGEPOINT FINANCIAL, INC. (PHOENIX AZ)
VA
03/13/2007 - 02/23/2009
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
CA
01/07/2006 - 01/26/2007
CAPSTONE INVESTMENTS (SAN DIEGO CA)
BOTH
Issued 04/01/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/30/2010
Series 4 - Registered Options Principal Examination
BC
Issued 05/03/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/18/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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