Nikki H. Chicotel
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 Howell Chicotel, who also goes by Nikki Frances Howell, Nikki Howell, Noreen Frances Howell, was a registered financial professional .
Nikki is a previously registered financial professional and started their career in finance in 1973. Nikki had worked at 8 firms and has passed the Series 65, Series 63, Series 1, Series 4 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
June 1, 2017 - July 2, 2019
EP WEALTH ADVISORS
April 2, 2003 - June 1, 2017
PRIVATE CAPITAL MANAGEMENT ASSOCIATES LLC
November 26, 2001 - April 10, 2003
WELLS FARGO INVESTMENTS, LLC
July 11, 2001 - April 10, 2003
WELLS FARGO INVESTMENTS, LLC
December 2, 1982 - July 11, 2001
WELLS FARGO SECURITIES, LLC
January 5, 1981 - November 16, 1982
PERSHING LLC
September 20, 1976 - November 21, 1980
C. D. ANDERSON & COMPANY, INCORPORATED
March 21, 1974 - August 19, 1974
SHUMAN, AGNEW & CO., INC.
May 8, 1973 - January 20, 1974
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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 1
Date: 5/3/1973
Registered Representative ExaminationCurrent Firm
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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