Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicolette? Claim Your ProfileNicolette Marie Harris is a financial professional with over 20 years of experience in the industry. Nicolette has been registered with Bofa Securities, Inc. since 2019. Prior to that, Nicolette held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA SECURITIES LLC, PFPC DISTRIBUTORS, INC., FIRST UNION SECURITIES, INC. and FIRST UNION BROKERAGE SERVICES, INC. Nicolette has a strong background in the financial services industry, having worked at several leading firms. Nicolette holds FINRA Series 6, 7, 52TO, 53 and 63 licenses and has passed the SIE exam.
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.
Research-related 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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
11/01/2010 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/27/2005 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
ME
02/13/2002 - 01/06/2004
PFPC DISTRIBUTORS, INC. (PORTLAND ME)
MO
10/01/2000 - 06/05/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
04/18/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
PA
12/08/1999 - 03/31/2000
VANGUARD MARKETING CORPORATION (MALVERN PA)
BC
Issued 02/10/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2000
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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