Carol Annette Henry-nicoll
Professional Summary
Carol Annette Henry-nicoll, who also goes by Carol Annette Henry, Carol An Henry-nicoll, Carol Annette Henrynicoll, Carol An Nicoll, Carol Nicoll, Carol Nicolle, was a registered financial advisor. Carol was a previously registered financial professional and started their career in finance 1992 - 2012. Carol had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 4, Series 53, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol Annette Henry, Carol An Henry-Nicoll, Carol Annette Henrynicoll, Carol An Nicoll, Carol Nicoll, Carol Nicolle
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
COWLES, SABOL & COMPANY, INCORPORATED | MUTUAL SECURITIES, INC. OF CALIFORNIA | MUTUAL SECURITIES, INC. | MUTUAL SECURITIES INC., OF CALIFORNIA | MUTUAL SECURITIES INC. OF CALIFORNIA
Contact Information
Main Address
2625 Townsgate Road Suite 200, Westlake Village, CA 91361Mailing Address
P.o. Box 3156, Westlake Village, CA 91359Phone Number
(805) 764-6730Established
California since 02/04/1982Firm Type
CorporationFiscal Year End
JuneFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1993Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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