Nicole Rossi
Professional summary
Nicole Rossi, who also goes by Nicole A Rossi, Nicole Ann Rossi, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2016. Nicole has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicole Rossi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2026 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 390 Madison Ave, New York, NY 10017-2513March 17, 2020 - June 14, 2024
GOLDMAN SACHS & CO. LLC
March 14, 2016 - January 31, 2020
GOLDMAN SACHS & CO. 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
FINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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