Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Shao is a financial professional registered with City National Securities, Inc. with office locations in LOS ANGELES, CA and La Puente, CA. Nicole has been in the industry since May 2015. She has worked for JP Morgan Securities LLC and J.P. MORGAN CHASE BANK, N.A. before joining City National Securities, Inc. Nicole is licensed to offer investment advice and securities in 51 states. She holds the Series 6, 7, 63 and 66 licenses, and the SIE. She has a broad experience in various financial services offerings. She is licensed to advise individuals, corporations, charitable organizations, pension and profit-sharing plans, and insurance companies.
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.
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.
A percentage of the total value of assets under management is charged.
Mutual fund fees, broker fees & transaction fees
1
2
CA
02/22/2023 - Present
City National Securities, Inc. (LOS ANGELES CA)
CA
05/18/2015 - 02/15/2023
J.P. MORGAN SECURITIES LLC (ARCADIA CA)
BOTH
Issued 01/23/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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