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NE

Nicole E. Edwards

ARES MANAGEMENT CAPITAL MARKETS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 7063000
NE

Professional summary

Nicole Elyse Edwards, who also goes by Nichole Elyse Edwards, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Denver, Colorado.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2019. Nicole has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nichole Elyse Edwards

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Elyse Edwards'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®
None

Experience

Current

January 2, 2026 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 1200 17th Street Suite 2900, Denver, CO 80202
BD
CRD#: 166219
Denver, CO
Past

October 17, 2022 - January 2, 2026

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

July 2, 2021 - September 26, 2022

PACIFIC CURRENT GROUP

BD
CRD#: 156263
Tacoma, WA
Past

June 5, 2019 - December 19, 2019

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

April 30, 2019 - December 19, 2019

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(1/2/2026)
RR
Alaska
(1/2/2026)
RR
Arizona
(1/2/2026)
RR
Arkansas
(1/2/2026)
RR
California
(1/2/2026)
RR
Colorado
(1/2/2026)
RR
Connecticut
(1/2/2026)
RR
Delaware
(1/2/2026)
RR
District of Columbia
(1/2/2026)
RR
Florida
(1/2/2026)
RR
Georgia
(1/2/2026)
RR
Hawaii
(1/2/2026)
RR
Idaho
(1/2/2026)
RR
Illinois
(1/2/2026)
RR
Indiana
(1/2/2026)
RR
Iowa
(1/2/2026)
RR
Kansas
(1/2/2026)
RR
Kentucky
(1/2/2026)
RR
Louisiana
(1/2/2026)
RR
Maine
(1/2/2026)
RR
Maryland
(1/2/2026)
RR
Massachusetts
(1/2/2026)
RR
Michigan
(1/2/2026)
RR
Minnesota
(1/2/2026)
RR
Mississippi
(1/2/2026)
RR
Missouri
(1/2/2026)
RR
Montana
(1/2/2026)
RR
Nebraska
(1/2/2026)
RR
Nevada
(1/2/2026)
RR
New Hampshire
(1/2/2026)
RR
New Jersey
(1/2/2026)
RR
New Mexico
(1/2/2026)
RR
New York
(1/2/2026)
RR
North Carolina
(1/2/2026)
RR
North Dakota
(1/2/2026)
RR
Ohio
(1/2/2026)
RR
Oklahoma
(1/2/2026)
RR
Oregon
(1/2/2026)
RR
Pennsylvania
(1/2/2026)
RR
Puerto Rico
(2/12/2026)
RR
Rhode Island
(1/2/2026)
RR
South Carolina
(1/2/2026)
RR
South Dakota
(1/2/2026)
RR
Tennessee
(1/2/2026)
RR
Texas
(1/2/2026)
RR
Utah
(1/2/2026)
RR
Vermont
(1/2/2026)
RR
Virgin Islands
(1/2/2026)
RR
Virginia
(1/2/2026)
RR
Washington
(1/2/2026)
RR
West Virginia
(1/2/2026)
RR
Wisconsin
(1/2/2026)
RR
Wyoming
(1/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/5/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/30/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/22/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
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Contact information

Main Address
1200 17th Street Suite 2900, Denver, CO 80202
Mailing Address
1200 17th Street Suite 2900, Denver, CO 80202
Phone number
(303) 869-4600
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCO-CEO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
TAYLOR, JEFFREY WILLIAMCO-CEO2874057

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219Denver, CO 80202

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