Nicole L. Huau

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CRD#: 4517741

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 Lynne Huau, who also goes by Nicole Lynne Baron, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2002. Nicole had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicole Lynne Baron

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 8, 2012 - June 19, 2015

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

TAMPA, FL

Past

May 2, 2012 - June 19, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

TAMPA, FL

Past

August 30, 2010 - April 18, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BLOOMFIELD HILLS, MI

Past

August 26, 2010 - April 18, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

BLOOMFIELD HILLS, MI

Past

June 1, 2009 - August 30, 2010

MORGAN STANLEY

RIA

CRD#: 149777

TAMPA, FL

Past

June 1, 2009 - August 30, 2010

MORGAN STANLEY

CRD#: 149777

TAMPA, FL

Past

September 29, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

September 26, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

May 30, 2007 - September 29, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TAMPA, FL

Past

March 27, 2006 - September 29, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TAMPA, FL

Past

August 22, 2005 - March 10, 2006

U.S. SELECT SECURITIES LLC

CRD#: 133082

NAPA, CA

Past

June 4, 2002 - August 8, 2005

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/26/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/3/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2005

General Securities Principal Examination

Current Firm

JHS CAPITAL ADVISORS, LLC

CRD#: 112097 / SEC#: 801-71238, 8-53232

Terminated by SEC on 10/23/2015

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 11/30/2011

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

JHS CAPITAL PART 2A (3/23/2015)

Direct owners and executive officers

Name	Position	CRD#
JHS CAPITAL HOLDINGS, LLC	OWNER
BENDERT, SCOTT JAMES	CHIEF EXECUTIVE OFFICER	5602806
CARTER, ANA ROUMENOVA	CFO/FINOP	4424794
DUIS, DEBORA JEANNE	DIRECTOR OF BRANCH SUPERVISION AND TRAINING	2390411
TURNER, WILLIAM R	INTERIM CHIEF COMPLIANCE OFFICER	859497

Disclosures

Regulatory Event	6
Arbitration	2

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.

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Firm Stability Insights

Nicole L. Huau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JHS CAPITAL ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. SELECT SECURITIES LLC

JOHN HANCOCK DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2007

Series 63

Date: 8/26/2003

SIE

Date: 6/19/2015

Series 7

Date: 10/10/2005

Series 6

Date: 6/3/2002

Series 24

Date: 12/15/2005

Current Firm

JHS CAPITAL ADVISORS, LLC

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JHS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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