Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Niki? Claim Your ProfileNiki D Sands is an active investment advisor with a strong history in the financial industry. Niki Sands has been registered with the Securities and Exchange Commission (SEC) since 1986 and has a broad background in the investment industry. Niki Sands currently holds Series 7, 63 and SIE registrations, and is a registered representative with J.P. Morgan Securities LLC. Niki Sands has worked with J.P. Morgan Securities LLC since November of 2012, Prior to that, Niki D Sands was employed at several other firms including LPL Financial LLC, SunTrust Investment Services, Inc., Fintegra, LLC, UBS Paine Webber Inc., Banc of America Investment Services, Inc., BA Investment Services, Inc., Financial Network Investment Corporation and Southwest Securities, Inc.. Niki Sands provides a wide array of services to clients, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. Niki Sands specializes in working with high-net-worth individuals, corporations, pension and profit-sharing plans, insurance companies, charitable organizations and labor unions.
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 6/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/4/1988
Series 3 - National Commodity Futures Examination
BC
Issued 5/17/1986
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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