Nicola B. Hartery-sampers
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.
Nicola Bridget Hartery-sampers, who also goes by Nichola B Hartery, Nichola Bridget Hartery, Nicola Bridget Hartery, Nicola Hartery, was a registered financial professional .
Nicola is a previously registered financial professional and started their career in finance in 1998. Nicola had worked at 6 firms and has passed the Series 66, Series 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2013 - January 6, 2021
TD AMERITRADE, INC.
November 23, 2010 - May 3, 2011
KESTRA INVESTMENT SERVICES, LLC
February 23, 2004 - January 21, 2009
KESTRA INVESTMENT SERVICES, LLC
September 25, 2001 - March 19, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
October 10, 2000 - June 11, 2001
CREDIT SUISSE SECURITIES (USA) LLC
March 18, 1999 - October 10, 2000
PERSHING LLC
March 2, 1998 - March 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 4/23/2024
General Securities Representative ExaminationSeries 57TO
Date: 4/23/2024
Securities Trader ExamSeries 55
Date: 11/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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