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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Niki? Claim Your ProfileNiki Alexandra Canotas is an investment advisor representative with LPL Financial LLC in San Jose, California. Niki has been in the financial services industry since 1996. Niki is also a registered investment advisor representative in California. Niki has experience working with individuals, high-net-worth individuals, charitable organizations, corporations and businesses, pension plans, and insurance companies. Niki is a Series 6, 26, and 63 licensed professional. In addition to being a licensed professional, Niki holds a Series 65 license and has experience with Investment Company Products/Variable Contracts.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/08/2009 - Present
LPL Financial LLC (SAN JOSE CA)
CA
12/18/2008 - 09/08/2009
ASSOCIATED SECURITIES CORP. (CAMPBELL CA)
CA
08/03/2007 - 11/10/2008
C C F INVESTMENTS, INC. (SAN JOSE CA)
GA
01/17/1996 - 07/12/2007
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 05/19/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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