Therese R. Nicklas
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.
Therese Rose Nicklas, CFP®, who also goes by Therese R Rizzo, Therese Rose Rizzo, was a registered financial professional .
Therese is a previously registered financial professional and started their career in finance in 2001. Therese had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
August 2, 2024 - January 31, 2025
F L PUTNAM INVESTMENT MANAGEMENT CO.
May 2, 2023 - November 22, 2024
FOUR PONDS FINANCIAL PLANNING
November 23, 2016 - May 16, 2023
THE WEALTH COACH FOR WOMEN, INC.
June 25, 2012 - December 1, 2016
U.S. FINANCIAL ADVISORS
June 15, 2012 - December 19, 2016
LPL FINANCIAL LLC
April 26, 2011 - June 21, 2012
CITIZENS SECURITIES, INC.
April 25, 2011 - June 21, 2012
CITIZENS SECURITIES, INC.
April 19, 2006 - May 13, 2011
LPL FINANCIAL LLC
February 22, 2006 - May 13, 2011
LPL FINANCIAL LLC
July 5, 2001 - February 27, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
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
F L PUTNAM INVESTMENT MANAGEMENT CO.
CRD#: 106223 / SEC#: 801-21951
Contact information
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,380 |
| AUM (Assets Under Management) | $ 7,695,902,054 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/08/2025 | ||
| 08/21/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
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.
