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NICHOLE MARIE HORTON
NICHOLE MARIE ALEXANDER
CRD#: 4827615
IA
B
UNITED CAPITAL FINANCIAL ADVISORSCRD#: 134600 620 NEWPORT CENTER DR
STE 550
NEWPORT BEACH, CA 92660
STE 550
NEWPORT BEACH, CA 92660
LION STREET FINANCIAL, LLCCRD#: 165828 620 Newport Center Drive
Suite 550
Newport Beach, CA 92660
Suite 550
Newport Beach, CA 92660
0
Disclosures
20
Years of Experience
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State Registrations
IA
California 12/7/2015
B
Texas 2/9/2024
B
California 2/9/2024
SRO Registrations
B
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IA
Registered with this firm since 12/7/2015
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Registered with this firm since 2/9/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/04/2020 - 11/16/2023 | NEWPORT BEACH, CA | |
B | 11/01/2017 - 09/01/2020 | NEWPORT BEACH, CA | |
B | 09/16/2015 - 11/01/2017 | NEWPORT BEACH, CA | |
B | 12/03/2004 - 08/14/2015 | IRVINE, CA |
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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.