Nicole Hargrove
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 Hargrove, who also goes by Nicole Rene Hargrove, Nicole Hargrove, Nicole Rene Hurley, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2010. Nicole had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2022 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 17, 2022 - July 29, 2024
TD AMERITRADE, INC.
December 9, 2021 - April 9, 2025
CHARLES SCHWAB & CO., INC.
December 9, 2021 - April 9, 2025
CHARLES SCHWAB & CO., INC.
February 18, 2019 - November 4, 2021
BOK FINANCIAL SECURITIES, INC.
February 13, 2019 - November 4, 2021
BOK FINANCIAL SECURITIES, INC.
March 10, 2017 - August 30, 2017
SCOTTRADE INVESTMENT MANAGEMENT
February 24, 2012 - August 30, 2017
SCOTTRADE, INC.
July 27, 2010 - October 8, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
