Nicole D. Stevens
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 Diane Stevens, who also goes by Nicole Diane Young, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1997. Nicole had worked at 1 firm and has passed the Series 63, SIE, Series 37 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
November 6, 1997 - July 18, 2016
WOLVERTON SECURITIES (USA), LTD.
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 37
Date: 11/12/1996
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
WOLVERTON SECURITIES (USA), LTD.
CRD#: 41745 / SEC#: , 8-49561
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
