Nicole N. Rogers
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 Nelson Rogers, who also goes by Nicole Nelson Krohmer, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 2011. Nicole 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
August 29, 2014 - November 1, 2016
USCA RIA LLC
August 29, 2014 - November 1, 2016
USCA SECURITIES LLC
December 13, 2011 - August 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 26, 2011 - August 28, 2014
WELLS FARGO CLEARING SERVICES, 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
USCA RIA LLC
CRD#: 152170 / SEC#: 801-72105
Contact information
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.
