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Detailed Report
NICOLE ZIELKE HARRIS
KIMBERLY NICOLE ZIELKE
CRD#: 2601113
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 489 EAST MAIN
LEXINGTON, KY 40507
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - Present (12 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)1999 - 2013 (13 years)BJ.J.B. HILLIARD, W.L. LYONS, INC. (CRD# 453)1995 - 1999 (3 years)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2012 - 2013 (<1 year)
Disclosure(s)
View By:
10/12/2012
Customer Dispute
Denied
10/9/2009
Customer Dispute
Denied
6/29/2009
Customer Dispute
Settled
2/9/2009
Customer Dispute
Settled
11/20/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/27/2015
B
Kentucky 2/13/2013
B
Arizona 2/13/2013
IA
Kentucky 2/13/2013
B
California 2/13/2013
B
Pennsylvania 2/13/2013
B
Colorado 5/18/2022
B
South Carolina 6/25/2014
B
Connecticut 6/6/2014
B
Tennessee 2/13/2013
B
Florida 2/13/2013
B
Texas 1/5/2022
B
Georgia 2/13/2013
B
Virginia 2/13/2013
B
Indiana 2/13/2013

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
489 EAST MAIN, LEXINGTON, KY 40507
Lexington, KY
Registered with this firm since 2/13/2013
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
489 EAST MAIN, LEXINGTON, KY 40507
Lexington, KY
Registered with this firm since 2/13/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/09/2012 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) LEXINGTON, KY
B
 04/01/1999 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) LEXINGTON, KY
B
 12/14/1995 - 04/16/1999 J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453) LOUISVILLE, KY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.