Nicole S. Slack
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicole Schmidt Slack, who also goes by Nicole Anastasia Schmidt, Nicole Slack, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1987. Nicole had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2021 - June 18, 2025
WEALTH MANAGEMENT ADVISORS RIA, INC.
January 1, 1999 - September 17, 2021
DMK ADVISOR GROUP, INC.
October 2, 1996 - September 17, 2021
DMK ADVISOR GROUP, INC.
April 11, 1988 - July 29, 1993
LEHMAN BROTHERS INC.
August 20, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/31/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/31/2024
Operations Professional ExaminationCurrent Firm
WEALTH MANAGEMENT ADVISORS RIA, INC.
CRD#: 309694 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 167 |
| AUM (Assets Under Management) | $ 94,893,338 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
