NU
Nicole M. Ugalde
MFS FUND DISTRIBUTORS
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 4320963
NU
Professional summary
Nicole Marie Ugalde, who also goes by Nicole Marie Gulley, is a registered financial professional currently at MFS FUND DISTRIBUTORS, INC. located in Phoenix, Arizona.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2006. Nicole has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicole Marie Gulley
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicole Marie Ugalde'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 13, 2012 - Present
MFS FUND DISTRIBUTORS, INC.
Office #1: Esplanade Tower Iv 2575 East Camelback Road, Suite 780, Phoenix, AZ 85016BD
CRD#: 31052
Phoenix, AZ
Past
January 6, 2010 - May 22, 2012
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
January 4, 2010 - May 22, 2012
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
April 6, 2009 - May 22, 2012
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
March 30, 2009 - May 22, 2012
OSAIC SERVICES, INC.
BD
CRD#: 133763
PHOENIX, AZ
Past
March 13, 2007 - February 23, 2009
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
January 7, 2006 - January 26, 2007
CAPSTONE INVESTMENTS
BD
CRD#: 41400
SAN DIEGO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(6/13/2012)
RR
Alaska(6/13/2012)
RR
Arizona(6/13/2012)
RR
Arkansas(6/13/2012)
RR
California(6/13/2012)
RR
Colorado(6/13/2012)
RR
Connecticut(6/13/2012)
RR
Delaware(6/13/2012)
RR
District of Columbia(6/13/2012)
RR
Florida(6/13/2012)
RR
Georgia(6/13/2012)
RR
Hawaii(6/13/2012)
RR
Idaho(6/13/2012)
RR
Illinois(6/13/2012)
RR
Indiana(6/13/2012)
RR
Iowa(6/13/2012)
RR
Kansas(6/13/2012)
RR
Kentucky(6/13/2012)
RR
Louisiana(6/13/2012)
RR
Maine(6/13/2012)
RR
Maryland(6/13/2012)
RR
Massachusetts(6/13/2012)
RR
Michigan(6/13/2012)
RR
Minnesota(6/13/2012)
RR
Mississippi(6/13/2012)
RR
Missouri(6/13/2012)
RR
Montana(6/13/2012)
RR
Nebraska(6/13/2012)
RR
Nevada(6/13/2012)
RR
New Hampshire(6/13/2012)
RR
New Jersey(6/13/2012)
RR
New Mexico(6/13/2012)
RR
New York(6/13/2012)
RR
North Carolina(6/13/2012)
RR
North Dakota(6/13/2012)
RR
Ohio(6/13/2012)
RR
Oklahoma(6/13/2012)
RR
Oregon(6/13/2012)
RR
Pennsylvania(6/13/2012)
RR
Puerto Rico(6/13/2012)
RR
Rhode Island(6/13/2012)
RR
South Carolina(6/13/2012)
RR
South Dakota(6/13/2012)
RR
Tennessee(6/13/2012)
RR
Texas(6/13/2012)
RR
Utah(6/13/2012)
RR
Vermont(6/13/2012)
RR
Virgin Islands(6/13/2012)
RR
Virginia(6/13/2012)
RR
Washington(6/13/2012)
RR
West Virginia(6/13/2012)
RR
Wisconsin(6/13/2012)
RR
Wyoming(6/13/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MFS FUND DISTRIBUTORS, INC.
MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.
CRD#: 31052 / SEC#: , 8-45321
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
111 Huntington Avenue, Boston, MA 02199
Mailing Address
111 Huntington Avenue, Boston, MA 02199
Phone number
(617) 954-5000
Established
Delaware since 10/27/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS FINANCIAL SERVICES COMPANY | PARENT COMPANY | |
| GEREMIA, CAROL WILLIAM | DIRECTOR AND CHAIRMAN OF THE BOARD | 1456883 |
| HARDIN, HEIDI WALTER | SECRETARY | 2619251 |
| HUNT, MICHAEL ANDREW | CHIEF COMPLIANCE OFFICER | 4150065 |
| KEENAN, MICHAEL SEAN | PRESIDENT AND DIRECTOR | 2324763 |
| SMELSTOR, JOSEPH JOHN IV | TREASURER AND SENIOR GROUP CONTROLLER | 6247186 |
Disclosures
| Regulatory Event | 1 |
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.
