Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Niki? Claim Your ProfileNiki Sands is a financial advisor registered with J.P. Morgan Securities LLC in Bend, Oregon. Niki has been in the financial services industry since 1987. Niki holds Series 3, 7, and 63 licenses as well as Series 65. Niki has worked with firms such as LPL Financial LLC, SunTrust Investment Services, Inc., and UBS PaineWebber Inc.
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.
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.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
OR
07/23/2014 - Present
J.p. Morgan Securities LLC (BEND OR)
OR
05/17/2011 - 12/03/2012
LPL FINANCIAL LLC (NORTH BEND OR)
NC
12/02/2010 - 05/04/2011
SUNTRUST INVESTMENT SERVICES, INC. (RALEIGH NC)
NC
04/09/2002 - 12/03/2010
FINTEGRA, LLC (APEX NC)
NJ
12/16/1999 - 04/15/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
MA
07/12/1999 - 12/14/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
03/14/1995 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
07/09/1992 - 01/18/1995
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NY
09/10/1986 - 03/19/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/25/1986 - 09/18/1986
SOUTHWEST SECURITIES, INC.
IA
Issued 10/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1988
Series 3 - National Commodity Futures Examination
BC
Issued 05/17/1986
Series 7 - General Securities 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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