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Nicole L. Rodrigues

VOYA INVESTMENTS DISTRIBUTOR
NEW YORK, NY 10169
Some features on this profile are disabled
CRD#: 2628379
NR

Professional summary

Nicole Larrabee Rodrigues, who also goes by Nicole Daniele Larrabee, Nicole Danielle Larrabee, is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 1998. Nicole has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Daniele Larrabee | Nicole Danielle Larrabee

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Larrabee Rodrigues's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 18, 2022 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: 200 Park Avenue, New York, NY 10169
BD
CRD#: 37886
NEW YORK, NY
Past

April 1, 2010 - August 10, 2022

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
SAN DIEGO, CA
Past

December 3, 2002 - April 16, 2010

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
SAN DIEGO, CA
Past

January 9, 2001 - May 9, 2002

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
SAN DIEGO, CA
Past

May 27, 2000 - October 27, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 1, 1998 - May 27, 2000

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

August 27, 1998 - December 15, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 23, 1998 - August 12, 1998

HEFLIN & CO., L.L.C.

BD
CRD#: 41170
EL SEGUNDO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/18/2022)
RR
New York
(11/6/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886New York, NY 10169

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