Nichola L. Noriega

INVESCO ADVISERS

NEW YORK, NY 10281

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CRD#: 6049013

Professional summary

Nichola Leslee Noriega is a registered financial advisor currently at INVESCO ADVISERS, INC. located in New York, New York and INVESCO DISTRIBUTORS, INC. located in New York, New York.

Nichola is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nichola has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

YWCA USA; NOT INVESTMENT RELATED; 1400 I STREET NW, SUITE 325, WASHINGTON, DC 20005, USA; NON-PROFIT; INVESTMENT COMMITTE MEMBER; START: 07/2025; LESS THAN 01HR/MO, LESS THAN 01HR DURING TRADING HRS; I WOULD PARTICIPATE IN QUARTERLY MEETINGS TO MONITOR INVESTMENT DECISIONS OF THE OCIO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nichola Leslee Noriega's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 11, 2019 - Present

INVESCO ADVISERS, INC.

Office #1: 225 Liberty St, New York, NY 10281

RIA

CRD#: 105360

NEW YORK, NY

Current

May 25, 2019 - Present

INVESCO DISTRIBUTORS, INC.

Office #1: 225 Liberty St 11th Floor, New York, NY 10281

CRD#: 7369

NEW YORK, NY

Past

May 8, 2013 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

April 27, 2012 - August 13, 2012

FEDERATED INVESTMENT COUNSELING

RIA

CRD#: 105325

PITTSBURGH, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/25/2019)

Tennessee
(5/25/2019)

IAR

Texas
(7/11/2019)

Virgin Islands
(11/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/16/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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Contact information

Main Address

1331 Spring Street Nw Suite 2500, Atlanta, GA 30309

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046

Phone number

(404) 892-0896

Established

Firm type

Fiscal year end

# of Employees

2,872

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESCO ADVISERS, INC. FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	61,236
AUM (Assets Under Management)	$ 756,881,223,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
09/27/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Nichola L. Noriega

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nichola Leslee Noriega's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

FEDERATED INVESTMENT COUNSELING

Primary Firm SEC Registration

INVESCO ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2013

FINRA

Current Firm

INVESCO ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESCO ADVISERS, INC.

TRUST BUT VERIFY

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