Nicole K. Loffredo
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 Karol Loffredo was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2000. Nicole had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE 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
February 21, 2020 - June 2, 2021
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
January 15, 2020 - June 2, 2021
FIRST REPUBLIC SECURITIES COMPANY, LLC
March 26, 2019 - January 16, 2020
J.P. MORGAN SECURITIES LLC
October 25, 2010 - January 16, 2020
J.P. MORGAN SECURITIES LLC
April 15, 2010 - October 29, 2010
PRIME CAPITAL SERVICES, INC.
February 12, 2010 - March 30, 2010
OSAIC WEALTH, INC.
June 16, 2003 - March 26, 2009
PRIME CAPITAL SERVICES, INC.
November 22, 2002 - March 6, 2003
PRO-INTEGRITY SECURITIES, INC.
September 20, 2002 - October 31, 2002
CARDINAL CAPITAL MANAGEMENT, INC.
January 9, 2002 - August 28, 2002
TRADESTATION SECURITIES, INC.
February 13, 2001 - November 2, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 1, 2000 - February 8, 2001
CITIGROUP GLOBAL MARKETS INC.
April 3, 2000 - August 22, 2000
JWGENESIS SECURITIES, INC.
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 7TO
Date: 8/29/2022
General Securities Representative ExaminationCurrent Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
