Nicole A. Gill
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 Aquino Gill, who also goes by Nicole Liza Aquino, Nikki Aquino, Nicole Aquino Gill, Nicole Liza Aquinde ^ ^ ^, Nikki Aquino ^ ^ ^, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2001. Nicole had worked at 3 firms and has passed the Series 63, SIE 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
October 7, 2016 - October 30, 2018
NEXPOINT SECURITIES, INC.
March 4, 2013 - October 7, 2016
NEXBANK SECURITIES INC
October 30, 2001 - August 31, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NEXPOINT SECURITIES, INC.
CRD#: 165013 / SEC#: , 8-69128
Contact information
FINRA licenses (53 States and Territories)
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.
