Nickolas A. Booth
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.
Nickolas Alan Booth was a registered financial professional .
Nickolas is a previously registered financial professional and started their career in finance in 2002. Nickolas had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2020 - March 4, 2022
INVESCO ADVISERS, INC.
April 1, 2020 - March 4, 2022
INVESCO DISTRIBUTORS, INC.
January 2, 2018 - January 18, 2019
BB&T SECURITIES, LLC
January 2, 2018 - January 18, 2019
BB&T SECURITIES, LLC
August 30, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
July 12, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
May 27, 2014 - May 21, 2015
BB&T SECURITIES, LLC
March 24, 2006 - December 31, 2006
SCOTT & STRINGFELLOW, LLC
March 24, 2006 - December 31, 2006
SCOTT & STRINGFELLOW, LLC
January 9, 2004 - August 20, 2004
UBS FINANCIAL SERVICES INC.
November 25, 2003 - August 20, 2004
UBS FINANCIAL SERVICES INC.
April 29, 2002 - December 16, 2003
IDS LIFE INSURANCE COMPANY
April 29, 2002 - December 16, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
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
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent Firm
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 10/27/2023 |
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.
