Nicole Justine De La Roca
Professional Summary
Nicole Justine De La Roca, who also goes by Nicole Justine Haab, Niki Haab, was a registered financial advisor. Nicole was a previously registered financial professional and started their career in finance 2012 - 2020. Nicole had worked at 3 firms and has passed the Series 7TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicole Justine Haab, Niki Haab
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
HBK GLOBAL SECURITIES L.P.
Contact Information
Established
Delaware since 03/04/2002Firm Type
Other Types of Legal FormationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HBK SECURITIES LP INC. | LIMITED PARTNER | — |
| BURKHARDT, RICHARD HENRY | FINOP | 5440286 |
| GODVIN, MARK DAVID | VICE PRESIDENT, MEMBER OF OVERSIGHT COMMITTEE | 1189421 |
| HARRIS, HEATHER LYNNE MS. | MEMBER OF OVERSIGHT COMMITTEE | 4144805 |
| HBK SECURITIES GP INC. | GENERAL PARTNER | — |
| MATHIS, GAYLA LYNETTE | CEO | 2775669 |
| OSBURN, ALISON LARAINE | CHIEF COMPLIANCE OFFICER | 5778391 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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