Nicole M. Possidente-holman
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 Marie Possidente-holman, who also goes by Nicole Marie Holman, Nicole Holman, Nicole Marie Possidente, Nicole Possidente, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2004. Nicole had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - June 11, 2019
CAPITAL ONE INVESTING, LLC
January 28, 2015 - July 23, 2019
CAPITAL ONE ADVISORS, LLC
September 14, 2010 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
September 14, 2010 - January 30, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
November 1, 2005 - March 7, 2007
STRATEGIC ADVISERS LLC
December 2, 2004 - August 6, 2009
FIDELITY BROKERAGE 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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
