Hiu Man Nicole Lo
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.
Hiu Man Nicole Lo, who also goes by Nicole Lo, was a registered financial professional .
Hiu Man Nicole is a previously registered financial professional and started their career in finance in 2022. Hiu Man Nicole had worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2023 - October 15, 2025
DUCERA SECURITIES LLC
July 18, 2022 - June 28, 2023
JEFFERIES LLC
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 79TO
Date: 7/18/2022
Investment Banking Registered Representative ExaminationCurrent Firm
DUCERA SECURITIES LLC
CRD#: 269984 / SEC#: , 8-69643
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
