Nicole A. Block
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 Block, who also goes by Nicole A Kur, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2005. Nicole had worked at 4 firms and has passed the Series 63, SIE, Series 55 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
March 20, 2014 - September 7, 2018
GLOBAL FRONTERA MARKETS INC.
March 8, 2010 - June 28, 2013
MYD MARKET, INC
November 1, 2005 - March 4, 2010
TRADITION SECURITIES AND DERIVATIVES LLC
April 11, 2005 - November 7, 2005
REFCO SECURITIES, 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
Series 55
Date: 7/19/2005
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL FRONTERA MARKETS INC.
CRD#: 144634 / SEC#: , 8-67668
Contact information
FINRA licenses (13 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
