Nicole L. Felts
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 Lynn Felts, who also goes by Nicole Felts, Nicole L Weidle, Nicole Lynn Weidle, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2000. Nicole had worked at 5 firms and has passed the Series 66 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
January 20, 2015 - April 20, 2017
NAPLES GLOBAL ADVISORS
November 28, 2007 - February 7, 2013
NAPLES CAPITAL ADVISORS
December 15, 2005 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
February 24, 2005 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
March 10, 2003 - January 18, 2005
INVEST FINANCIAL CORPORATION
February 24, 2003 - January 18, 2005
INVEST FINANCIAL CORPORATION
September 11, 2000 - January 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2000 - January 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NAPLES GLOBAL ADVISORS
CRD#: 158544 / SEC#: 801-72600
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
NAPLES GLOBAL ADVISORS
CRD#: 158544 / SEC#: 801-72600
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,688 |
| AUM (Assets Under Management) | $ 1,654,697,768 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 01/27/2025 | ||
| 03/25/2024 | ||
| 01/03/2023 |
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.
