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Detailed Report
NICOLE COTT ROSS
NICOLE COTT
CRD#: 4805005
IA
Investment Adviser
B
Broker
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 SAN DIEGO, CA
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2008 - Present (16 years)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2004 - 2005 (1 year)
License(s)

State Registrations

B
California 9/24/2008
IA
Nevada 11/19/2013
IA
California 11/20/2008
B
Oregon 5/30/2014
B
Colorado 9/26/2024
IA
Oregon 5/30/2014
IA
Colorado 9/26/2024
B
Texas 7/27/2015
B
Minnesota 9/5/2024
B
Washington 4/30/2015
IA
Minnesota 9/5/2024
IA
Washington 5/12/2015
B
Nevada 11/1/2013

SRO Registrations

B
 FINRA

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
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
SAN DIEGO, CA
950 W. BANNOCK STREET SUITE 1120, BOISE, ID 83702
Registered with this firm since 11/20/2008
B
VALIC FINANCIAL ADVISORS, INC. (CRD#:42803)
SAN DIEGO, CA
950 W. BANNOCK STREET SUITE 1120, BOISE, ID 83702
Registered with this firm since 9/24/2008
Previous Registration(s)
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B
 07/12/2004 - 08/08/2005 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
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.