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Lora Jean Nickel
LORA JEAN BETTENDORF, LORA JEAN FISH
CRD#: 4412872
IA
B
THE OAK RIDGE FINANCIAL SERVICES GROUP, INCCRD#: 42941 701 XENIA AVENUE SOUTH
SUITE 100
GOLDEN VALLEY, MN 55416-1089
SUITE 100
GOLDEN VALLEY, MN 55416-1089
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9/29/2020
Financial
Final
10/5/2016
Financial
Final
8/25/2016
Financial
Final
1/28/2016
Financial
Final
8/13/2015
Financial
Final
State Registrations
IA
California 2/12/2024
B
Minnesota 2/21/2024
IA
Minnesota 1/29/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/29/2024
B
Registered with this firm since 1/16/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/17/2020 - 12/15/2020 | St. Paul, MN | |
B | 03/16/2020 - 12/15/2020 | ST. PAUL, MN | |
IA | 09/05/2019 - 03/13/2020 | VADNAIS HEIGHTS, MN | |
B | 09/04/2019 - 03/13/2020 | VADNAIS HEIGHTS, MN | |
IA | 03/27/2017 - 08/23/2019 | MINNEAPOLIS, MN | |
B | 03/17/2017 - 08/23/2019 | MINNEAPOLIS, MN | |
IA | 11/02/2012 - 07/06/2015 | BLOOMINGTON, MN | |
B | 01/03/2011 - 07/06/2015 | BLOOMINGTON, MN | |
B | 09/19/2008 - 01/03/2011 | MINNEAPOLIS, MN | |
B | 06/25/2008 - 08/27/2008 | MINNEAPOLIS, MN | |
B | 03/24/2004 - 06/30/2008 | SAN FRANCISCO, CA | |
B | 07/01/2003 - 03/22/2004 | ST. LOUIS, MO | |
B | 05/29/2003 - 07/01/2003 | NEW YORK, NY |
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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.
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