NB
Nicole J. Best
HEARTLAND ADVISORS
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 3053329
NB
Professional summary
Nicole Jeannine Best, who also goes by Nicole Nagel, is a registered financial advisor currently at HEARTLAND ADVISORS, INC. located in Milwaukee, Wisconsin and ALPS DISTRIBUTORS, INC. located in Milwaukee, Wisconsin.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Nicole has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Nagel
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.
1. East Bay Holdings, LLC; Not Investment-Related; 4470 N Lake Dr. Milwaukee, WI 53211; Property Management; Real Estate and Transportation; 4 HRS/MON; 4 HRS/MON During Trading Hours. 2. Secure Futures; Not Investment-Related; 710 N Plankinton Ave Suite 310, Milwaukee, WI 53203; Non-Profit; 05/2018; Advisory Council Member; 1HR/MON; None During Trading Hours. 3. Heartland Advisors; Investment-Related; 790 Water St Ste 1200 Milwaukee, WI 53202; Investment Advisor; Investment Advisor Representative; 05/2010; 160 HRS/MON; 130 HRS/MON During Trading Hours; Investment Management. 4. ALPS Distributors, Inc.; Investment-Related; 1290 S Broadway Suite 1000 Denver, CO 80203; BD Registered Representative; 06/2010, 160 HRS/MON; 130 HRS/MON During Trading Hours. 5 .Milwaukee County Pension Board; Investment-Related; 901 N. 9th Street Suite 210; Milwaukee, WI 53233; Retirement Plan Services; Board Member; 3 HRS/MON; 3 HRS/MON During Trading Hours. 6. Girl Scouts of WI; Not Investment-Related; 1315 69th St. Milwaukee, WI 53214; Not for Profit; Board Member; 7 HRS/MON; None During Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Jeannine Best's 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®
NoneExperience
Current
June 28, 2010 - Present
HEARTLAND ADVISORS, INC.
Office #1: 790 N Water Street Suite 1200, Milwaukee, WI 53202RIA
CRD#: 29433
Milwaukee, WI
Current
June 28, 2010 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 790 Water Street Suite 1200, Milwaukee, WI 53202BD
CRD#: 16853
Milwaukee, WI
Past
August 1, 2007 - August 28, 2008
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
MILWAUKEE, WI
Past
October 16, 2003 - August 28, 2008
HEARTLAND ADVISORS, INC.
RIA
CRD#: 29433
MILWAUKEE, WI
Past
December 10, 2002 - October 10, 2003
HEARTLAND ADVISORS, INC.
BD
CRD#: 29433
MILWAUKEE, WI
Past
December 21, 2001 - July 31, 2007
HEARTLAND INVESTOR SERVICES, LLC
BD
CRD#: 29693
MILWAUKEE, WI
Past
August 3, 1998 - December 21, 2001
HEARTLAND ADVISORS, INC.
BD
CRD#: 29433
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(6/28/2010)
RR
Alaska(6/28/2010)
RR
Arizona(6/28/2010)
RR
Arkansas(6/28/2010)
RR
California(6/28/2010)
RR
Colorado(6/28/2010)
RR
Connecticut(6/28/2010)
RR
Delaware(6/28/2010)
RR
District of Columbia(6/28/2010)
RR
Florida(6/28/2010)
RR
Georgia(6/28/2010)
RR
Hawaii(6/28/2010)
RR
Idaho(6/28/2010)
RR
Illinois(6/28/2010)
RR
Indiana(6/28/2010)
RR
Iowa(6/28/2010)
RR
Kansas(6/28/2010)
RR
Kentucky(6/28/2010)
RR
Louisiana(6/28/2010)
RR
Maine(6/28/2010)
RR
Maryland(6/28/2010)
RR
Massachusetts(6/28/2010)
RR
Michigan(6/28/2010)
RR
Minnesota(6/28/2010)
RR
Mississippi(6/28/2010)
RR
Missouri(6/28/2010)
RR
Montana(6/28/2010)
RR
Nebraska(6/28/2010)
RR
Nevada(6/28/2010)
RR
New Hampshire(6/28/2010)
RR
New Jersey(6/28/2010)
RR
New Mexico(6/28/2010)
RR
New York(6/28/2010)
RR
North Carolina(6/28/2010)
RR
North Dakota(6/28/2010)
RR
Ohio(6/28/2010)
RR
Oklahoma(6/28/2010)
RR
Oregon(6/28/2010)
RR
Pennsylvania(6/28/2010)
RR
Puerto Rico(6/28/2010)
RR
Rhode Island(6/28/2010)
RR
South Carolina(6/28/2010)
RR
South Dakota(6/28/2010)
RR
Tennessee(6/28/2010)
RR
Texas(6/28/2010)
RR
Utah(6/28/2010)
RR
Vermont(6/28/2010)
RR
Virgin Islands(6/28/2010)
RR
Virginia(6/28/2010)
RR
Washington(6/28/2010)
RR
West Virginia(6/28/2010)
RR
Wisconsin(6/28/2010)
IAR
Wisconsin(6/28/2010)
RR
Wyoming(6/28/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
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Contact information
Main Address
790 N Water Street Suite 1200, Milwaukee, WI 53202
Mailing Address
Phone number
(414) 347-7777
Established
Wisconsin since 03/03/1953
Firm type
Corporation
Fiscal year end
December
# of Employees
26
SEC notice filing (17 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 1,885,901,565 |
Disclosures
| Regulatory Event | 3 |
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
HEARTLAND ADVISORS, INC.
CRD#: 29433Milwaukee, WI 53202TRUST BUT VERIFY
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