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Nicole Sylvester Brinkerhoff

CARTY, HARDING & HEARN
MEMPHIS, TN
·CRD# 5742266·16 years experience

Professional Summary

Nicole Sylvester Brinkerhoff, who also goes by Nicole Brinkerhoff, Nikki Brinkerhoff, Nikki Sylvester, is a registered financial advisor currently at CARTY, HARDING & HEARN, INC. located in Memphis, Tennessee and HAPI located in Portland, Oregon. Nicole is registered as a RR (Registered Representative) and started their career in finance in 2010. Nicole has worked at 15 firms and has passed the Series 63, Series 82TO, Series 99TO, Series 3, SIE, Series 7, Series 14 and...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Nicole Brinkerhoff, Nikki Brinkerhoff, Nikki Sylvester

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

16 years in the financial services industry

Current & Past Employments

CARTY, HARDING & HEARN, INC.·CRD# 7001
BD
6263 Poplar Avenue Suite 800, Memphis, TN 38119
April 30, 2024 - Present
HAPI·CRD# 311868
BD
1. Portland, OR2. 2646 Nw Cornell Road, Portland, OR 97210
February 26, 2025 - Present
CROWDVEST SECURITIES LLC·CRD# 288827
BD
21 Sovereign Way, Hutchinson Island, FL 34949
August 18, 2025 - Present
FUNDMENT LLC·CRD# 333140
BD
1270 Avenue Of The Americas Suite #1140, New York, NY 10020
April 23, 2026 - Present
FIRST ASSET FINANCIAL INC.·CRD# 139107
BD
Salina, KS
January 15, 2025 - March 18, 2025
SIGNET SECURITIES, LLC·CRD# 154198
BD
Columbus, OH
June 20, 2024 - March 12, 2025
TRADESTATION SECURITIES, INC.·CRD# 39473
BD
Plantation, FL
July 2, 2021 - April 30, 2024
DALMORE GROUP LLC·CRD# 136352
BD
Mcdonough, GA
June 23, 2020 - August 6, 2021
WALTON RE SECURITIES, LLC·CRD# 172024
BD
Scottsdale, AZ
March 5, 2020 - April 29, 2020
HIDDEN ROAD PARTNERS CIV US LLC·CRD# 299659
BD
New York, NY
January 13, 2020 - February 3, 2020
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Austin, TX
November 26, 2019 - May 5, 2020
DASH FINANCIAL TECHNOLOGIES LLC·CRD# 104031
BD
Chicago, IL
February 5, 2019 - March 11, 2019
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Austin, TX
January 18, 2019 - August 29, 2019
FIRST HORIZON ADVISORS, INC.·CRD# 17117
BD
Memphis, TN
June 15, 2017 - December 5, 2018
CETERA INVESTMENT SERVICES LLC·CRD# 15340
BD
Birmingham, AL
April 14, 2015 - June 2, 2017
MORGAN KEEGAN & COMPANY, LLC·CRD# 4161
BD
Memphis, TN
October 29, 2010 - August 17, 2012

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Current Firm

FL
FUNDMENT LLC

FUNDMENT LLC

CRD#: 333140 / SEC#: 8-71302
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

58-60 Berners Street, London, W1T 3NQ

Mailing Address

58-60 Berners Street, London, W1T 3NQ

Phone Number

+44 (0) 203 637 9201

Established

Delaware since 06/05/2024

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (40 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
FUNDMENT HOLDINGS LIMITEDPARENT—
ABDUL, OLACHIEF EXECUTIVE OFFICER8004691
BOOKER, CHRISCHIEF TECHNOLOGY OFFICER8004692
BRINKERHOFF, NICOLE SYLVESTERCHIEF COMPLIANCE OFFICER5742266
MACKAY, DUNCANCHIEF INVESTMENT OFFICER8051245
MEYERS, CHRISTOPHER MPRINCIPAL FINANCIAL OFFICER6122487
WISNIEWSKI, JONATHAN BRUCEPRINCIPAL OPERATIONS OFFICER6011199

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Arkansas
(9/15/2026)
RR
California
(7/20/2026)
RR
Connecticut
(7/24/2026)
RR
Florida
(8/18/2025)
RR
Maryland
(6/30/2026)
RR
Missouri
(9/2/2026)
RR
New Hampshire
(8/4/2026)
RR
Oregon
(8/17/2026)
RR
Pennsylvania
(6/30/2026)
RR
South Dakota
(8/4/2026)
RR
Tennessee
(10/1/2024)
RR
Vermont
(8/21/2026)
RR
Virginia
(7/13/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2022About the Series 63 exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Oct 2024About the Series 82TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 3 — National Commodity Futures Examination

Passed Apr 2022About the Series 3 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2010About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed May 2011About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Nicole Sylvester Brinkerhoff's CRS (Customer Relationship Summary).

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