Nikki A. Phiroz
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.
Nikki Afza Phiroz, who also goes by Naz Afza Phiroz, Nikki Phiroz, Nikki A Phiroz, was a registered financial professional .
Nikki is a previously registered financial professional and started their career in finance in 1992. Nikki had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 13, 2019 - January 11, 2021
TD AMERITRADE, INC.
November 13, 2019 - January 11, 2021
TD AMERITRADE, INC.
September 25, 2018 - September 10, 2019
TD AMERITRADE, INC.
September 18, 2018 - September 10, 2019
TD AMERITRADE, INC.
September 18, 2018 - September 10, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 29, 2005 - July 12, 2017
STRATEGIC ADVISERS LLC
April 26, 2005 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
March 16, 2004 - December 8, 2004
FISERV INVESTOR SERVICES, INC.
February 10, 2003 - January 22, 2004
A. G. EDWARDS & SONS, INC.
February 10, 2003 - January 22, 2004
A. G. EDWARDS & SONS, INC.
January 26, 2001 - February 6, 2002
MML INVESTORS SERVICES, LLC
December 21, 1999 - March 3, 2000
IDS LIFE INSURANCE COMPANY
December 21, 1999 - May 10, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
August 23, 1994 - January 22, 1999
TEXAS CAPITAL SECURITIES, INC.
August 4, 1994 - September 2, 1994
TDI, INCORPORATED
April 26, 1994 - August 30, 1994
THE TRADING DESK, INC.
January 3, 1994 - May 25, 1994
PHOENIX GOVERNMENT INVESTMENTS, INC.
July 13, 1992 - December 31, 1993
DESHLER-MORRIS SECURITIES, 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: 10/11/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
