NF
Nicole Filingeri
INVESCO DISTRIBUTORS
NEW YORK, NY 10281
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CRD#: 4442186
NF
Professional summary
Nicole Filingeri, who also goes by Nicole Jennifer Filingeri, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in New York, New York.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2002. Nicole has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicole Jennifer Filingeri
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 Filingeri'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
July 17, 2019 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 225 Liberty St 11th Floor, New York, NY 10281BD
CRD#: 7369
NEW YORK, NY
Past
June 6, 2013 - December 12, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
August 17, 2012 - April 1, 2013
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
NEW YORK, NY
Past
August 24, 2007 - July 24, 2012
SCHRODER FUND ADVISORS LLC
BD
CRD#: 24129
NEW YORK, NY
Past
February 8, 2006 - July 12, 2007
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
NEW YORK, NY
Past
February 14, 2002 - April 20, 2004
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
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(6/8/2021)
RR
Alaska(6/8/2021)
RR
Arizona(6/8/2021)
RR
Arkansas(6/8/2021)
RR
California(6/8/2021)
RR
Colorado(6/8/2021)
RR
Connecticut(6/8/2021)
RR
Delaware(6/8/2021)
RR
District of Columbia(6/8/2021)
RR
Florida(6/8/2021)
RR
Georgia(6/8/2021)
RR
Hawaii(6/8/2021)
RR
Idaho(6/8/2021)
RR
Illinois(6/8/2021)
RR
Indiana(6/8/2021)
RR
Iowa(6/8/2021)
RR
Kansas(6/8/2021)
RR
Kentucky(6/8/2021)
RR
Louisiana(6/8/2021)
RR
Maine(6/8/2021)
RR
Maryland(6/8/2021)
RR
Massachusetts(6/8/2021)
RR
Michigan(6/8/2021)
RR
Minnesota(6/8/2021)
RR
Mississippi(6/8/2021)
RR
Missouri(6/8/2021)
RR
Montana(6/8/2021)
RR
Nebraska(6/8/2021)
RR
Nevada(6/8/2021)
RR
New Hampshire(6/8/2021)
RR
New Jersey(6/8/2021)
RR
New Mexico(6/8/2021)
RR
New York(7/17/2019)
RR
North Carolina(6/8/2021)
RR
North Dakota(6/8/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/8/2021)
RR
Oregon(6/8/2021)
RR
Pennsylvania(6/8/2021)
RR
Puerto Rico(6/8/2021)
RR
Rhode Island(6/8/2021)
RR
South Carolina(6/8/2021)
RR
South Dakota(6/8/2021)
RR
Tennessee(6/8/2021)
RR
Texas(6/8/2021)
RR
Utah(6/8/2021)
RR
Vermont(6/8/2021)
RR
Virgin Islands(6/8/2021)
RR
Virginia(6/8/2021)
RR
Washington(6/8/2021)
RR
West Virginia(6/8/2021)
RR
Wisconsin(6/8/2021)
RR
Wyoming(6/8/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
