Nicole M. Riney
OAK HARVEST INVESTMENT SERVICES
Houston, TX 77024
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CRD#: 7206973
Professional summary
Nicole May Riney, CFP®, who also goes by Nicole May, is a registered financial advisor currently at OAK HARVEST INVESTMENT SERVICES located in Houston, Texas.
Nicole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nicole has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicole May
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.
Oak Harvest Insurance Services; investment related : Yes; 920 Memorial City Way, Suite #150; Selling annuities, life, health, and long-term care coverage to interested parties through various unaffiliated insurance companies. ; Insurance Agent; Selling annuities, life, health, and long-term care coverage to interested parties through various unaffiliated insurance companies where the agent receives a commission or renewal payment from the issuer subsequent to a client's purchase of an insurance contract.; Hours devoted to business outside trading hours: 50; Percentage of total yearly compensation expected to be derived from the business: 10.
CRS (Client Relationship Summary) - RIA
Click below to view Nicole May Riney'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®
CFP®
Start date: 2019
Experience
Current
December 6, 2019 - Present
OAK HARVEST INVESTMENT SERVICES
Office #1: 920 Memorial City Way Suite 150, Houston, TX 77024RIA
CRD#: 173293
Houston, TX
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".
OH
OAK HARVEST INVESTMENT SERVICES
OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES
CRD#: 173293 / SEC#: 801-116667
RIA
Registered Investment Advisory firm - (5/22/2019 Approved)Texas
Registered Investment Advisory firm - (6/3/2019 Terminated)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
Texas(12/6/2019)
Exams
Current Firm
OH
OAK HARVEST INVESTMENT SERVICES
OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES
CRD#: 173293 / SEC#: 801-116667
RIA
Registered Investment Advisory firm - (5/22/2019 Approved)Texas
Registered Investment Advisory firm - (6/3/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
920 Memorial City Way Suite 150, Houston, TX 77024
Mailing Address
Phone number
(281) 822-1350
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,633 |
| AUM (Assets Under Management) | $ 940,834,408 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
