Nicole A. Bouzan
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 A Bouzan, who also goes by Nicole Alise Bouzan, Nicole Alise Cannava, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2006. Nicole had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2021 - April 13, 2021
LPL FINANCIAL LLC
August 26, 2015 - January 3, 2020
SANTANDER SECURITIES LLC
November 26, 2013 - August 21, 2015
CITIZENS SECURITIES, INC.
January 28, 2013 - October 28, 2013
NEW ENGLAND SECURITIES
June 8, 2011 - June 28, 2011
SIGNATOR INVESTORS, INC.
June 7, 2011 - July 12, 2011
SIGNATOR INVESTORS, INC.
October 23, 2009 - August 30, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - August 30, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 30, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 1, 2006 - July 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 26, 2006 - July 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
