Tara T. Nickle
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.
Tara Teresa Nickle, who also goes by Tara Teresa Spidell, Tara Teresa White Ms., Tara Teresa White, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 2002. Tara had worked at 6 firms and has passed the Series 66 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
April 9, 2013 - February 19, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 4, 2013 - February 19, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 6, 2005 - April 20, 2011
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - April 20, 2011
CHASE INVESTMENT SERVICES CORP.
May 3, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 3, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 28, 2004 - April 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 2004 - April 1, 2005
IDS LIFE INSURANCE COMPANY
April 27, 2004 - April 1, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2002 - April 13, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
November 1, 2002 - April 13, 2004
IDS LIFE INSURANCE COMPANY
November 1, 2002 - April 13, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
