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Nicole R. Breitenstein

CLARENDON INSURANCE AGENCY
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 4841565
NB

Professional summary

Nicole Rose Breitenstein, who also goes by Nicole Rose Culbertson, Nicole Rose Culbertson, is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicole has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Rose Culbertson | Nicole Rose Culbertson

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. EMERGE CAPITAL MANAGEMENT INC, INVESTMENT RELATED, 500 PEARL STREET SUITE 740 BUFFALO NY 14202, REGISTERED INVESMENT ADVISOR, VP NATIONAL SALES MANAGER, 08/2021, 80 HRS/MON, 65 HRS/MON DURING TRADING, MANAGE SALES TEAM/DISTRIBUTON SUPPORT. 2. ALPS DISTRIBUTORS, INC, INVESTMENT RELATED, 1290 BROADWAY SUITE 1000 DENVER CO 80203, BROKER/DEALER, REGISTERED REPRESENTATIVE, 09/2022, 80 HRS/MON, 65 HRS/MON DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Rose Breitenstein'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®
None

Experience

Current

October 10, 2023 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451
BD
CRD#: 7395
Waltham, MA
Past

September 27, 2022 - July 14, 2023

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 14, 2022 - October 12, 2023

EMERGE CAPITAL MANAGEMENT

RIA
CRD#: 284581
Wilder, KY
Past

July 11, 2019 - November 23, 2020

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Cincinnati, OH
Past

June 14, 2007 - July 11, 2019

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

February 13, 2007 - June 14, 2007

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
CINCINNATI, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
Kentucky
(10/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/11/2022
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/20/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/8/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/12/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLARENDON INSURANCE AGENCY, INC.
CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Mailing Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Phone number
(781) 790-8600
Established
Massachusetts since 03/04/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE LIFE INSURANCE COMPANYSOLE SHAREHOLDER
BLOOM, MICHAEL SCOTTDIRECTOR & SECRETARY5200070
CAREY, ELIZABETHCHIEF COMPLIANCE OFFICER4889080
JOSEPH, JAMESFINANCIAL AND OPERATIONS PRINCIPAL6576566
LAKE, COLIN CPRESIDENT AND DIRECTOR2717313
WANG, FANG LINDADIRECTOR7675208

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.

Company Information

CLARENDON INSURANCE AGENCY, INC.

CRD#: 7395Waltham, MA 02451

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