Nicole C. Shumpert
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 Christina Shumpert, who also goes by Nicole Christina Campbell, Nicole Christina Shumpert, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1996. Nicole had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
January 11, 2021 - May 30, 2023
MARKETAXESS CORPORATION
June 19, 2019 - November 19, 2019
BROKERTEC AMERICAS LLC
August 10, 2016 - June 17, 2019
BROKERTEC AMERICAS LLC
January 11, 2006 - June 16, 2016
TRADEWEB LLC
May 25, 2004 - June 30, 2005
LYNCH, JONES & RYAN LLC
March 7, 2002 - August 2, 2002
WALL STREET ACCESS
September 6, 1996 - March 25, 2002
CROWN FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
MARKETAXESS CORPORATION
CRD#: 44542 / SEC#: , 8-50727
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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