NB
Nicole A. Burroughs
VOYA FINANCIAL ADVISORS
PORTLAND, OR 97239
Some features on this profile are disabled
CRD#: 6937319
NB
Professional summary
Nicole Ann Burroughs, who also goes by Nicole Burroughs, Nicole Ann Friedemann, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Portland, Oregon.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nicole has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole Burroughs | Nicole Ann Friedemann
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.
NAME OF ENTITY:Water Tower Financial, LLC; Yes; 5331 S Macadam Ave Suite 207; Portland; OR; 97239; Financial Services/DBA; Financial Advisor; 10/5/2021; 160; 160; Sales and service insurance, securities and investment products| NAME OF ENTITY: Independent Insurance Agent; Yes; 5331 S Macadam Ave Suite 207; Portland; OR; 97239; Fixed Insurance Sales; Independent Insurance Agent; 10/5/2021; 160; 160; Sales of fixed insurance products| FOREST CREEK PARK HOME OWNERS ASSOCIATION POSITION: Playground Committee Member NATURE: Attending monthly board meetings to give updates on the condition of the playground and whether funds will be needed for maintenance or new bark dust. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2024 ADDRESS: 21065 S Mossy Rock Court, Oregon City OR 97045, United States DESCRIPTION: Monitoring the condition of the playground to see if repairs are needed or if bark dust needs replaced.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Ann Burroughs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicole Ann Burroughs'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®
NoneExperience
Current
October 7, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6500 S Macadam Avenue Suite 125, Portland, OR 97239Office #2: 7337 E Doubletree Ranch Rd, Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 2882
PORTLAND, OR
Current
September 1, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6500 S Macadam Avenue Suite 125, Portland, OR 97239Office #2: 7337 E Doubletree Ranch Rd, Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 2882
PORTLAND, OR
Past
March 9, 2021 - September 1, 2021
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
TIGARD, OR
Past
March 9, 2021 - September 1, 2021
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
TIGARD, OR
Past
June 29, 2018 - December 22, 2020
EDWARD JONES
RIA
CRD#: 250
WEST LINN, OR
Past
June 7, 2018 - December 22, 2020
EDWARD JONES
BD
CRD#: 250
WEST LINN, OR
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/28/2024)
IAR
Arizona(12/12/2024)
RR
California(6/6/2025)
RR
Colorado(1/2/2025)
RR
Florida(1/2/2025)
RR
Idaho(1/22/2024)
RR
Indiana(4/14/2025)
RR
Oregon(9/1/2021)
IAR
Oregon(10/7/2021)
RR
Washington(10/28/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
