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Nicole Allyson Southern

Nicole A. Southern

Irvine, CA 92612
Some features on this profile are disabled
CRD#: 6195771
Nicole Allyson Southern
Nicole Allyson Southern

Professional summary

Nicole Allyson Southern, who also goes by Nicole Allyson Shearer, Nikki Shearer, Nicole Southern, was a registered financial advisor .

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Nicole had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Services Offered

Military Financial Advisor
Retirement Planning
Women's Financial Strategies

Aliases

Nicole Allyson Shearer | Nikki Shearer | Nicole Southern

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.
Outside Employment; RPWM Partners, LLC; Advisor; Manage advisory business; 2600 Michelson Drive, Ste. 1460, , Irvine, CA, 92612; Investment-Related; 10/01/2025; 60 hours per month; 60 during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

September 10, 2026 - Present

Office #1: 2600 Michelson Drive Suite 1460, Irvine, CA 92612
Irvine, CA
Past

October 6, 2014 - September 25, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Pomona, CA
Past

June 3, 2014 - September 25, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
IRVINE, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(9/11/2026)
IAR
Texas
(9/10/2026)

Exams

What does exam status mean?
State Security Law Exam
PR
IAR
Series 66
Status Unavailable
Passed: 10/6/2014
Uniform Combined State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 6/2/2014
General Securities Representative Examination

Current firm

No current employment

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

No current employment

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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