Nicole E. Hakim
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 Erica Hakim was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2005. Nicole had worked at 8 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
July 24, 2019 - August 6, 2019
IC ADVISORY SERVICES, INC.
July 23, 2019 - August 5, 2019
THE INVESTMENT CENTER, INC.
March 27, 2017 - April 26, 2018
AVANTAX ADVISORY SERVICES
March 22, 2017 - April 26, 2018
AVANTAX INVESTMENT SERVICES, INC.
March 25, 2014 - December 16, 2016
AVANTAX ADVISORY SERVICES
March 18, 2014 - December 16, 2016
AVANTAX INVESTMENT SERVICES, INC.
January 15, 2009 - November 13, 2012
SII INVESTMENTS, INC.
January 14, 2009 - November 13, 2012
SII INVESTMENTS, INC.
January 14, 2008 - April 28, 2008
CINCINNATI ANALYSTS, INC.
December 4, 2007 - April 28, 2008
CINCINNATI ANALYSTS, INC.
July 18, 2005 - November 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 18, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 18, 2005 - November 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
