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NM

Nicole L. Meis

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CRD#: 5341686
NM

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 L Meis was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2008. Nicole had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 28, 2013 - July 15, 2014

LOCORR DISTRIBUTORS, LLC

BD
CRD#: 41782
EXCELSIOR, MN
Past

August 1, 2012 - June 18, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
RICHFIELD, MN
Past

January 19, 2011 - August 1, 2012

M&I FINANCIAL ADVISORS, INC

BD
CRD#: 16517
RICHFIELD, MN
Past

May 11, 2010 - November 9, 2010

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
MAPLE GROVE, MN
Past

November 12, 2008 - April 13, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WOODBURY, MN
Past

February 7, 2008 - April 13, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WOODBURY, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/2/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/6/2008
General Securities Representative Examination

Current Firm

LD
LOCORR DISTRIBUTORS, LLC
LOCORR DISTRIBUTORS, LLC | STRATEGIC TRADING, INC. | OCTAVUS LLC

CRD#: 41782 / SEC#: , 8-49568

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

Main Address
687 Excelsior Blvd, Excelsior, MN 55331
Mailing Address
687 Excelsior Blvd, Excelsior, MN 55331
Phone number
(952) 767-6900
Established
Minnesota since 02/07/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OCTAVUS GROUP LLCOWNER
KINZIE, KEVIN MICHAELCEO4384324
ESSEN, JON CHADWICKPRINCIPAL, CFO, FINOP2469593
HULL, BRIAN FRANCISCCO2685889

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

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

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