Nicolette N. Patterson
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.
Nicolette Nigeria Patterson, who also goes by Nicolette N Hayles, Nicolette Nigeria Hayles, Nicolette Patterson, was a registered financial professional .
Nicolette is a previously registered financial professional and started their career in finance in 2011. Nicolette had worked at 3 firms and has passed the Series 66, 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
May 8, 2017 - January 23, 2019
TD AMERITRADE, INC.
May 8, 2017 - January 23, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 6, 2017 - January 23, 2019
TD AMERITRADE, INC.
March 14, 2011 - July 7, 2016
EDWARD JONES
January 24, 2011 - July 7, 2016
EDWARD JONES
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, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
