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NICOLE DELINDA BASCOMBE
NIKKI BASCOMBE
CRD#: 5145168
IA
B
EDWARD JONESCRD#: 250 8640 S RIVER PARKWAY
TEMPE, AZ 85284
TEMPE, AZ 85284
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Arizona 10/20/2023
B
Missouri 2/13/2025
IA
Arizona 10/24/2023
IA
Missouri 2/13/2025
B
Arkansas 4/26/2024
B
Utah 10/20/2023
B
Massachusetts 10/20/2023
SRO Registrations
B
B
B
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 10/24/2023
B
Registered with this firm since 10/19/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/11/2022 - 08/09/2023 | PHOENIX, AZ | |
B | 05/09/2022 - 08/09/2023 | PHOENIX, AZ | |
IA | 04/08/2016 - 06/09/2022 | GILBERT, AZ | |
B | 06/08/2015 - 06/09/2022 | GILBERT, AZ | |
B | 01/08/2009 - 05/20/2014 | LAKE MARY, FL | |
B | 08/02/2006 - 01/09/2009 | JERSEY CITY, NJ |
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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.