Nicole A. Laplante
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 Laplante, CFP®, who also goes by Nicole A Laplante, Nicole Andrie Laplante, Nicole Laplante-padalik, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2007. Nicole had worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE 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
August 4, 2021 - April 12, 2022
FINANCIAL STEWARD ASSOCIATES, LLC
May 24, 2021 - May 4, 2022
LPL FINANCIAL LLC
May 19, 2021 - May 4, 2022
LPL FINANCIAL LLC
June 2, 2017 - February 4, 2019
BANCWEST INVESTMENT SERVICES, INC.
June 1, 2017 - February 4, 2019
BANCWEST INVESTMENT SERVICES, INC.
February 4, 2011 - October 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2011 - October 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2007 - July 1, 2008
WELLS FARGO INVESTMENTS, LLC
August 3, 2007 - July 1, 2008
WELLS FARGO INVESTMENTS, 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 7TO
Date: 5/19/2021
General Securities Representative ExaminationCurrent Firm
FINANCIAL STEWARD ASSOCIATES, LLC
CRD#: 110594 / SEC#: 801-126558
Contact information
Red Flags
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