Nichole C. Clark Ake
Professional summary
Nichole C Clark Ake, who also goes by Nichole C Ake, Nichole Christine Ake, Nichole Ake, Nichole Christine Clark, Nichole Christine Clark-ake, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Houston, Texas.
Nichole is registered as a RR (Registered Representative) and started their career in finance in 1993. Nichole has worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nichole C Clark Ake's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2021 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2200 Post Oak Blvd 17th Floor, Houston, TX, 77056August 27, 2014 - October 8, 2021
BBVA SECURITIES INC.
July 6, 2011 - December 31, 2013
HITHERLANE PARTNERS, LLC
August 23, 2010 - September 26, 2011
USCA SECURITIES LLC
November 4, 2008 - April 3, 2009
STANFORD GROUP COMPANY
December 8, 1999 - July 7, 2008
PENSON FINANCIAL SERVICES, INC.
September 20, 1996 - September 8, 1999
HUBERMAN FINANCIAL INC.
February 19, 1993 - December 1, 1995
LPL FINANCIAL LLC
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
