Nicole L. Plates
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.
Nicole Ladelle Plates was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1995. Nicole had worked at 6 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2017 - July 19, 2018
ALLY INVEST SECURITIES LLC
January 2, 2014 - June 26, 2015
BB&T INVESTMENT SERVICES, INC.
January 29, 2010 - December 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 1999 - May 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 1, 1997 - March 3, 1998
BARNETT INVESTMENTS, INC.
January 20, 1995 - August 1, 1997
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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