Nicole D. Huey
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 D Huey, who also goes by Nicole D Huey, Nicole Danielle Huey, Nicole Huey, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2010. Nicole had worked at 12 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2020 - December 10, 2020
FORESIDE FUND SERVICES, LLC
December 10, 2015 - May 30, 2017
WILLIAM BLAIR
December 9, 2015 - May 30, 2017
WILLIAM BLAIR
April 7, 2014 - December 9, 2015
BLACKROCK FUND ADVISORS
April 7, 2014 - December 9, 2015
BLACKROCK INVESTMENTS, LLC
June 25, 2013 - September 10, 2013
CETERA INVESTMENT SERVICES LLC
June 25, 2013 - September 10, 2013
CETERA FINANCIAL SPECIALISTS LLC
June 24, 2013 - September 10, 2013
CETERA INVESTMENT SERVICES LLC
June 24, 2013 - September 10, 2013
CETERA ADVISORS LLC
June 20, 2013 - September 10, 2013
CETERA ADVISORS LLC
June 18, 2013 - September 10, 2013
CETERA WEALTH SERVICES, LLC
June 17, 2013 - September 10, 2013
CETERA WEALTH SERVICES, LLC
July 12, 2011 - May 16, 2013
NUVEEN SECURITIES, LLC
February 14, 2011 - June 30, 2011
PIMCO INVESTMENTS LLC
October 18, 2010 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 17, 2010 - August 18, 2010
PARK AVENUE 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
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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