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Nicole L. Smith

ISRAEL INVESTMENT ADVISORS
Denver, CO 80203
Some features on this profile are disabled
CRD#: 4009292
NS

Professional summary

Nicole Lea Smith, who also goes by Nicole Lea Catalano, Nicole Lea Moore, is a registered financial advisor currently at ISRAEL INVESTMENT ADVISORS, LLC located in Denver, Colorado and GHP INVESTMENT ADVISORS INC located in Denver, Colorado.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Nicole has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicole Lea Catalano | Nicole Lea Moore

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Lea Smith's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 26, 2025 - Present

ISRAEL INVESTMENT ADVISORS, LLC

Office #1: 1290 Broadway, Suite 1100, Denver, CO 80203
RIA
CRD#: 153952
Denver, CO
Current

September 26, 2025 - Present

GHP INVESTMENT ADVISORS INC

Office #1: 1290 Broadway, Suite 1100, Denver, CO 80203
RIA
CRD#: 107563
Denver, CO
Past

July 20, 2006 - October 2, 2008

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
WOODLAND HILLS, CA
Past

April 11, 2005 - November 15, 2005

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

September 8, 1999 - March 24, 2005

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

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".
GI
GHP INVESTMENT ADVISORS INC
GHP GLOBAL MARKETS | GHP INVESTMENT ADVISORS INC

CRD#: 107563 / SEC#: 801-49990

RIA
Registered Investment Advisory firm - (8/28/1995 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Colorado
(9/26/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/26/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/27/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/7/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/25/2000
Investment Company Products/Variable Contracts Principal Examination

Current Firm

GI
GHP INVESTMENT ADVISORS INC
GHP GLOBAL MARKETS | GHP INVESTMENT ADVISORS INC

CRD#: 107563 / SEC#: 801-49990

RIA
Registered Investment Advisory firm - (8/28/1995 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1290 Broadway, Suite 1100, Denver, CO 80203
Mailing Address
Phone number
(303) 831-5051
Established
Firm type
Fiscal year end
# of Employees
25

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GHPIA PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts4,299
AUM (Assets Under Management)$ 2,723,131,280

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/02/2026
Cover Page
Report
11/21/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

GHP INVESTMENT ADVISORS INC

CRD#: 107563Denver, CO 80203

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