Nicole T. Roberts
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 Tomas Roberts, who also goes by Nicole Tomas Thomas, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2002. Nicole had worked at 5 firms and has passed the Series 66, 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
December 19, 2013 - November 4, 2014
GEORGE K. BAUM & COMPANY
May 23, 2005 - January 2, 2013
ESTRADA HINOJOSA & COMPANY, INC.
May 18, 2005 - January 2, 2013
ESTRADA HINOJOSA & COMPANY, INC.
May 13, 2004 - April 15, 2005
BANC ONE SECURITIES CORPORATION
May 13, 2004 - April 15, 2005
BANC ONE SECURITIES CORPORATION
October 28, 2002 - April 2, 2004
UBS FINANCIAL SERVICES INC.
October 17, 2002 - April 2, 2004
UBS FINANCIAL SERVICES INC.
May 16, 2002 - September 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
