Nicole E. Morris
Professional summary
Nicole Elisabeth Morris is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 1992. Nicole has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicole Elisabeth Morris's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 2012 - Present
PACIFIC SELECT DISTRIBUTORS, LLC
Office #1: 700 Newport Center Drive, Newport Beach, CA 92660December 16, 2011 - August 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 24, 2010 - December 8, 2010
CITIGROUP GLOBAL MARKETS INC.
August 6, 2003 - February 10, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
February 5, 2003 - August 4, 2003
CITICORP INVESTMENT SERVICES
July 13, 2001 - February 5, 2003
CAL FED INVESTMENTS
January 31, 1997 - April 6, 2000
CAL FED INVESTMENTS
August 31, 1992 - January 31, 1997
INVEST FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/25/2021)
Exams
FINRA
Current Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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