Nicole R. Kloenne
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 Renae Kloenne, who also goes by Nikki R All, Nicole R Barrett, Nicole R Mcdonald, Nicole R Tessman, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2002. Nicole had worked at 6 firms and has passed the Series 63, 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
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
July 22, 2015 - April 22, 2016
SANDERS MORRIS LLC
May 15, 2014 - July 13, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 9, 2010 - September 17, 2012
GENEOS WEALTH MANAGEMENT, INC.
June 7, 2007 - October 3, 2008
OSAIC SERVICES, INC.
November 18, 2002 - May 29, 2007
CHARLES SCHWAB & CO., 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
Current Firm
RETIREONE INVESTMENT SERVICES, LLC
CRD#: 269923 / SEC#: , 8-69640
Contact information
FINRA licenses (53 States and Territories)
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.
