NH
Nichole M. Horton
UNITED CAPITAL FINANCIAL ADVISORS
NEWPORT BEACH, CA 92660
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CRD#: 4827615
NH
Professional summary
Nichole Marie Horton, who also goes by Nichole Marie Alexander, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Newport Beach, California and INTEGRITY ALLIANCE, LLC. located in Newport Beach, California.
Nichole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Nichole has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nichole Marie Alexander
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. UNITED CAPITAL RISK MANAGEMENT, LLC POSITION: Insurance Agent NATURE: Insurance agency used for processing fixed insurance and annuity business. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 08/25/2015 ADDRESS: 620 Newport Center Drive, Suite 550, Newport Beach CA 92660, United States DESCRIPTION: I run/oversee the compliance program for the insurance business. 2. UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management and financial planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/25/2015 ADDRESS: 620 Newport Center Drive, Suite 550, Newport Beach CA 92660, United States DESCRIPTION: I run the compliance program for United Capital as well as submit all regulatory filings.
CRS (Client Relationship Summary) - RIA
Click below to view Nichole Marie Horton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 7, 2015 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 620 Newport Center Dr Ste 550, Newport Beach, CA 92660RIA
CRD#: 134600
NEWPORT BEACH, CA
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 620 Newport Center Drive Suite 550, Newport Beach, CA 92660RIA
BD
CRD#: 139627
Newport Beach, CA
Past
February 9, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Newport Beach, CA
Past
September 4, 2020 - November 16, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEWPORT BEACH, CA
Past
November 1, 2017 - September 1, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NEWPORT BEACH, CA
Past
September 16, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
NEWPORT BEACH, CA
Past
December 3, 2004 - August 14, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
IRVINE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(12/7/2015)
RR
California(11/3/2025)
RR
Texas(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
