Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicole? Claim Your ProfileNicole Veni is a financial professional with over 10 years of experience in the industry. Nicole is currently registered with LPL Enterprise, LLC, a large independent broker-dealer with a national presence. Nicole has a strong background in the financial services industry having worked for notable firms such as Oppenheimer & Co. Inc., Citigroup Global Markets Inc., and Wells Fargo Advisors, LLC. Nicole is a licensed investment advisor representative in the state of New York. Nicole holds the Series 63, 65, 66, 7 and SIE licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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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NY
11/14/2024 - Present
LPL Enterprise, LLC (NEW YORK NY)
FL
12/22/2021 - 08/02/2022
MIURA CAPITAL, LLC (MIAMI FL)
NY
01/03/2017 - 01/09/2020
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/27/2013 - 11/03/2016
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
01/18/2013 - 05/01/2013
WELLS FARGO ADVISORS, LLC (NEW YORK NY)
IA
Issued 06/20/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/2024
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 01/03/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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