Individual Firm
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BORIS NIKO
BORIS NIKOLAEVSKY
CRD#: 4603500
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 383 East Street Road
Feasterville, PA 19053
Feasterville, PA 19053
View By:
6/15/2023
Customer Dispute
Settled
State Registrations
B
California 3/4/2022
B
North Carolina 10/3/2023
B
Florida 3/4/2022
B
Pennsylvania 3/4/2022
IA
Florida 6/23/2022
IA
Pennsylvania 3/4/2022
B
Georgia 3/4/2022
B
Texas 3/4/2022
B
Indiana 3/4/2022
IA
Texas 3/4/2022
B
New Jersey 3/4/2022
B
Virginia 8/9/2024
B
New York 3/4/2022
B
Washington 3/4/2022
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 3/4/2022
B
Registered with this firm since 3/4/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/27/2013 - 03/10/2022 | NEW HOPE, PA | |
B | 11/27/2013 - 03/10/2022 | NEW HOPE, PA | |
IA | 07/13/2004 - 11/29/2013 | ELKIN PARK, PA | |
B | 07/07/2004 - 11/29/2013 | ELKIN PARK, PA | |
B | 11/08/2002 - 07/15/2004 | BALTIMORE, MD | |
IA | 11/21/2002 - 12/13/2002 | PHILADELPHIA, PA |
ELKIN PARK, PA
07/13/2004 - 11/29/2013
ELKIN PARK, PA
07/07/2004 - 11/29/2013
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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.
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.