Nicole M. Holloway

NATURAL INVESTMENTS

El Sobrante, CA

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CRD#: 6534839

Professional summary

Nicole Middleton Holloway, CFP®, who also goes by Nicole M Middleton, Nicole Mieko Middleton, Nicole M Middleton Holloway, is a registered financial advisor currently at NATURAL INVESTMENTS located in El Sobrante, California.

Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Nicole has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole M Middleton | Nicole Mieko Middleton | Nicole M Middleton Holloway

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.

CARRIE PRODUCTIONS, INC. THIS BUSINESS IS ENTERTAINMENT & MEDIA-BASED, AND NON-INVESTMENT RELATED. ADDRESS: 2625 ALCATRAZ AVENUE #243, BERKELEY, CA 94705. FORMER EMPLOYER, NOW PAID AS A CONSULTANT FOR PART-TIME SOCIAL MEDIA & WEBSITE MAINTENANCE. 10-15 APPROXIMATE HOURS/MONTH SPENT ON CONSULTING WORK FOR THIS BUSINESS, AND MY INVOLVEMENT IN THIS BUSINESS ACTIVITY IS DONE COMPLETELY OUTSIDE OF SECURITIES TRADING HOURS. RELATIONSHIP STARTED 9 YEARS AGO (IN 2010).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Middleton Holloway's CRS (Customer Relationship Summary).

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®

CFP^®

CRD#: 7691

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NATURAL INVESTMENTS

CRD#: 113348 / SEC#: 801-63874

RIA

Registered Investment Advisory firm - (2/10/2005 Approved)

California

Registered Investment Advisory firm - (2/23/2005 Terminated)

Colorado

Registered Investment Advisory firm - (3/16/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/10/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/14/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/2015

General Securities Representative Examination

Current Firm

NATURAL INVESTMENTS

CRD#: 113348 / SEC#: 801-63874

RIA

Registered Investment Advisory firm - (2/10/2005 Approved)

California

Registered Investment Advisory firm - (2/23/2005 Terminated)

Colorado

Registered Investment Advisory firm - (3/16/2005 Terminated)

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Contact information

Main Address

Windsor, CA

Mailing Address

P.o. Box 7775, #43366, San Francisco, CA 94120-7775

Phone number

(707) 758-0171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (2/17/2025)

Regulatory assets under management

Total Number of Accounts	4,846
AUM (Assets Under Management)	$ 1,973,943,342

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.

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Nicole M. Holloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Middleton Holloway's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUALIFIED PLANNING

QUALIFIED PLANNING

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NATURAL INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2015

SIE

Date: 4/18/2016

Series 7

Date: 9/9/2015

Current Firm

NATURAL INVESTMENTS

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATURAL INVESTMENTS

TRUST BUT VERIFY

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