NL
Nicole M. Lena
WILLIAM BLAIR
BOSTON, MA 02110
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CRD#: 5299530
NL
Professional summary
Nicole Marie Lena, who also goes by Nicole Marie Chellis, Nicole M Lena, Nikki Lena, is a registered financial professional currently at WILLIAM BLAIR located in Boston, Massachusetts.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2009. Nicole has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicole Marie Chellis | Nicole M Lena | Nikki Lena
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicole Marie Lena'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
May 24, 2017 - Present
WILLIAM BLAIR
Office #1: 125 High Street Oliver Street Tower Suite 1901, Boston, MA 02110RIA
BD
CRD#: 1252
BOSTON, MA
Past
August 24, 2012 - June 20, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
Past
November 30, 2010 - October 24, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
October 21, 2009 - October 22, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BOSTON, MA
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".
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Arizona(5/24/2017)
RR
California(5/24/2017)
RR
Colorado(5/24/2017)
RR
Connecticut(5/24/2017)
RR
Delaware(12/1/2021)
RR
District of Columbia(10/1/2019)
RR
Florida(5/24/2017)
RR
Georgia(5/24/2017)
RR
Hawaii(12/6/2017)
RR
Illinois(5/24/2017)
RR
Louisiana(4/28/2025)
RR
Maine(5/24/2017)
RR
Maryland(5/24/2017)
RR
Massachusetts(5/24/2017)
RR
Michigan(5/24/2017)
RR
Minnesota(11/11/2020)
RR
Missouri(5/24/2017)
RR
Montana(4/18/2023)
RR
New Hampshire(5/24/2017)
RR
New Jersey(9/23/2021)
RR
New Mexico(5/24/2017)
RR
New York(5/24/2017)
RR
North Carolina(5/25/2017)
RR
Ohio(4/14/2021)
RR
Oregon(1/25/2024)
RR
Pennsylvania(5/24/2017)
RR
Rhode Island(5/24/2017)
RR
South Carolina(1/17/2025)
RR
South Dakota(5/15/2019)
RR
Tennessee(9/4/2019)
RR
Texas(11/2/2020)
RR
Utah(12/19/2024)
RR
Vermont(5/24/2017)
RR
Virginia(5/24/2017)
RR
Washington(4/23/2024)
RR
Wisconsin(5/24/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 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.
Company Information
WILLIAM BLAIR
CRD#: 1252Boston, MA 02110TRUST BUT VERIFY
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