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ND

Nicole L. Duddleston

XMS CAPITAL PARTNERS
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 6122496
ND

Professional summary

Nicole Lynn Duddleston, who also goes by Nicole Lynn Bergman, Nicole Bergman, Nicole Ludwig, is a registered financial professional currently at XMS CAPITAL PARTNERS, LLC located in Chicago, Illinois.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2012. Nicole has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Lynn Bergman | Nicole Bergman | Nicole Ludwig

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Lynn Duddleston's 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

October 22, 2012 - Present

XMS CAPITAL PARTNERS, LLC

Office #1: 321 N Clark Street Suite 2440, Chicago, IL 60654
BD
CRD#: 142871
Chicago, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 10/20/2012
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

XC
XMS CAPITAL PARTNERS, LLC
XMS CAPITAL PARTNERS, LLC

CRD#: 142871 / SEC#: , 8-67502

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Mailing Address
321 N Clark Street Suite 2440, Chicago, IL 60654
Phone number
(312) 262-5642
Established
Delaware since 09/22/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
XMS HOLDINGS LLCHOLDING COMPANY OWNER
BROMBACH, THEODORE JOSEPHMANAGING PARTNER1295389
DUDDLESTON, NICOLE LYNNACCOUNTING MANAGER AND FINOP6122496
SPENCE, JOHN FLINNMANAGING PARTNER, CHIEF COMPLIANCE OFFICER AND AML OFFICER2079237

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.

Company Information

XMS CAPITAL PARTNERS, LLC

CRD#: 142871Chicago, IL 60654

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