Nivek E. Redmond
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nivek Emorej Redmond, who also goes by Nivek Redmond, was a registered financial professional .
Nivek is a previously registered financial professional and started their career in finance in 2014. Nivek had worked at 5 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2022 - May 23, 2023
FISHER INVESTMENTS
April 4, 2017 - March 14, 2022
EMPOWER ADVISORY GROUP, LLC
April 4, 2017 - March 14, 2022
EMPOWER FINANCIAL SERVICES, INC.
October 23, 2015 - January 10, 2017
EDWARD JONES
October 23, 2015 - January 10, 2017
EDWARD JONES
December 24, 2014 - October 31, 2015
WADDELL & REED
August 5, 2014 - October 31, 2015
WADDELL & REED
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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